Lecturer Bios
Stephanie Gregory, Esq.
Stephanie Gregory is Principal Analyst in FINRA's Advertising Regulation Department. Prior to joining FINRA in 2004, Ms. Gregory worked in compliance and advertising review with a member firm. Ms. Gregory received a bachelor’s degree in economics and political science from Boston University, and her law degree from Pennsylvania State University Dickinson School of Law.
Nicole Murphy
Nicole Murphy is Chief Compliance Officer for Cash App Invest LLC and has served
in this capacity since October 2021. In this role, she is responsible for overseeing
regulatory compliance and supervision for the continuously evolving and innovative
broker-dealer within a broader fintech organization.
Ms. Murphy is also Cash App
Invest’s AML Officer and serves on several internal committees. Since joining the
industry in 2007, Ms. Murphy has contributed to the Retail and Operations business
units at TD Ameritrade and TD Ameritrade Clearing and the Regulatory Relations
organization at E*TRADE and Morgan Stanley. Ms. Murphy received her Bachelor
of Arts degree from Creighton University where she majored in Philosophy with a comajor in Political Science. She also currently holds her Series 7, 63, and 24 licenses.
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
groupings.
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
regulatory program.
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.
