Gene C. Davis
Gene C. Davis is Director of FINRA’s Fixed Income Specialist Team. The Fixed
Income Specialist Team is responsible for conducting higher risk fixed income
examinations and those of firms engaged in a material fixed income business. Mr.
Davis has been with FINRA (formerly NASD) since February 1997 and has
participated in numerous matters of member firms engaged in a myriad of fixed
income business lines.
Mr. Davis has completed the FINRA Institute at Wharton
Certificate Program, obtaining the Certified Regulatory and Compliance
Professional™ (CRCP™) designation in 2004.
Bri Joiner, Esq.
Bri Joiner is Director of Regulatory Compliance at the Municipal Securities
Rulemaking Board (MSRB), in which she oversees a portfolio of programs under the
MSRB’s Market Regulation department, maintaining responsibility for strategic
planning and execution of long-term objectives. Ms. Joiner is directly responsible for
the MSRB’s professional qualifications program, examiner training program and
regulatory compliance program initiatives.
Prior to assuming her current role, Ms.
Joiner managed the MSRB’s regulatory education program leading the development
and delivery of content for regulated entities and market stakeholders in support of a
fair and efficient municipal securities market. Prior to joining the MSRB, Ms. Joiner spent 10 years at the
Financial Industry Regulatory Authority (FINRA). She served as Senior Regulatory Policy Analyst in FINRA’s
Office of General Counsel, where she worked on rulemaking initiatives and researched legal and compliance
She also held the position of Senior Manager in FINRA’s Member Education and Training
department, where she advised on initiatives having a market impact and served as a subject matter expert
on various topics. Ms. Joiner began her career at the U.S. Securities and Exchange Commission. Ms. Joiner
earned a bachelor’s degree, magna cum laude, from Spelman College and a juris doctor from the Walter F.
George School of Law, Mercer University. She is a member of Phi Beta Kappa Honor Society, Golden Key
International Honour Society and Phi Delta Phi Legal Fraternity.
John Saxton, Esq.
John Saxton is Senior Director in FINRA’s Division of Market Regulation. He joined
FINRA/New York Stock Exchange in 1997 and currently leads the Trading and
Execution Fixed Income Examination team. This specialized team is responsible for
conducting trading and execution reviews in fixed income securities within FIRNA’s
cycle examination program.
Prior to his current role, Mr. Saxton was a Senior Director
in FINRA’s Division of Market Regulation supervising several surveillance teams and
was a Trial Counsel in NYSE’s Division of Enforcement. Mr. Saxton earned his J.D.
from New York Law School and a B.S. in Business Administration from St. Michael’s