Lisa Colone, Esq.
Lisa Colone serves as Chief Counsel in FINRA’s Enforcement Department. She
joined FINRA in 2016 and served as Senior Regional Counsel until her promotion
to Chief Counsel in May 2018. Prior to joining FINRA, Ms. Colone served as Deputy
Chief of the Criminal Division at the U.S. Attorney’s Office for the District of New
Jersey. In that role, Ms. Colone supervised more than 35 Assistant U.S. Attorneys
in the Office’s Economic Crimes Unit, Asset Forfeiture and Money Laundering Unit,
and General Crimes Unit.
Prior to her promotion to the position of Deputy Chief, Ms.
Colone served as the Chief of the General Crimes Unit at the U.S. Attorney’s Office.
Ms. Colone also served as the lead prosecutor on numerous criminal prosecutions.
Ms. Colone graduated from the University of Virginia and the University of Virginia
School of Law.
Prior to joining the U.S. Attorney’s Office, she was an associate at Cleary Gottlieb LLP. Ms.
Colone also clerked for the Honorable Catherine C. Blake, U.S. District Judge for the District of Maryland.
Michael Gerena, Esq.
Michael Gerena is Senior Director of FINRA’s National Cause Program and is
located in Long Island, New York. In this capacity, Mr. Gerena is currently
responsible for leading the Cause Examination Program for all of the retail firm
Within this role, he is responsible for overall operations of the
department, including the development and implementation of strategic and tactical
measures necessary to ensure timely, high-quality completion of the departments
Mr. Gerena is also actively involved in several initiatives related
to FINRA’s National Cause Program and other FINRA-wide initiatives. Mr. Gerena’s
tenure at FINRA began in 2004 and prior to serving in his current position, he has
served in a variety of staff and management roles, most recently serving as the Associate District Director
managing the sales practice cause staff in the New York and Long Island offices.
Prior to joining FINRA, Mr.
Gerena worked as a Variable Annuity Suitability Analyst at a broker-dealer. Mr. Gerena graduated from the
State University of New Yok at Oswego and completed the FINRA Certified Regulatory and Compliance
Professional™ (CRCP™) program at Wharton.
Terrie J. Hanna, Esq.
Terrie J. Hanna is Vice President and Associate General Counsel in the Personal
Investing and Wealth Management group of the legal department of Fidelity
Investments. Since arriving at Fidelity in 2011, Ms. Hanna has supported the
development of new retail brokerage and advisory products, with a focus on high
net worth and financial planning. Currently, Ms. Hanna and her team provide
primary legal support for the retail marketing and communications teams, including
support of the firm’s social media channels and digital engagement practices.
Ms. Hanna began her career with the Boston-based firm of Foley Hoag LLP, practicing
in the areas of corporate, securities and tax law, and later joined Dechert LLP to
focus her practice on the financial services industry. She then served as counsel to the Brokerage Division
of SunGard Data Systems, Inc. for eight years, providing regulatory and transactional support to the firm’s
regulated subsidiaries, before returning to Dechert where she represented broker-dealers and investment
aa M.B.A., high honors, from Boston University Graduate School of Management in 1991.
She received a
Bachelor of Arts, cum laude, from Colby College in 1985dvisers. Ms. Hanna earned a J.D., summa cum laude, from Boston University School of Law in 1990, and a M.B.A., high honors, from Boston University Graduate School of Management in 1991. She received a Bachelor of Arts, cum laude, from Colby College in 1985.