Tina S. Gubb, Esq.
Tina Salehi Gubb is Chief Counsel in FINRA’s Department of Market Regulation.
She is responsible for supervising a team of attorneys who enforce cases relating to
market integrity and customer protection issues.
With regard to fixed income
products, Ms. Gubb has brought enforcement actions on FINRA’s behalf involving
systemic best-execution violations, excessive markups/markdowns, customer
suitability issues, transaction reporting and related supervisory deficiencies. Ms.
Gubb has been with FINRA since 1998. She is a graduate of James Madison
University and the University of Richmond, School of Law.
Jordan Materna is Deputy Director in FINRA’s National Cause and Financial Crimes
Detection Programs for the Options Regulatory Surveillance Authority (ORSA). He
has been with FINRA since January 2015 and has been with ORSA since it was
formed in 2006. Mr. Materna’s area of responsibility includes the direction of Insider
Trading surveillance and investigative work that FINRA performs pursuant to the
ORSA NMS plan on behalf of all of the U.S. options exchanges.
His role also
encompasses the coordination of efforts related to equity Insider Trading
investigations. Additionally, Mr. Materna works closely with the U.S. Securities and
Exchange Commission and has assisted the Federal Bureau of Investigation, the
U.S. Attorney’s office and foreign regulators, and has provided testimony in federal criminal trial proceedings.
Prior to FINRA, Mr. Materna was employed by the CBOE since 1984.
He started on the trading floor and
worked as an Order Book Official (OBO) before joining the Department of Market Regulation in 1989. Over
the next 10 years, Mr. Materna worked in the Regulatory Division as a Senior Investigator, Compliance
Examiner and Trading Floor Liaison. In 1999, Jordan was hired to manage the Insider Trading Group and
was promoted to Director in 2005 and then Department Head in 2012. Mr. Materna received his B.A. in
Business from Western Illinois University.
Danny Mileto is Vice President, Option Regulation within FINRA Market Regulation
is responsible for surveillance and investigations of option participants for
compliance issues such as Regulation SHO, fraud, manipulation, and various other
exchange specific rules.
The VP works closely with various teams within FINRA,
including Technology and SRM&G, to develop and improve surveillance reports to
identify improper activity across exchanges and products. In addition, the VP works
proactively with external groups including the SEC, ISG and the various option
Mr. Mileto has been with FINRA since 2000 and prior to that was an
options market maker and specialist with Susquehanna Investment Group. Under
his management, the unit worked closely with Enforcement to produce seminal cases involving Regulation
SHO and cross product manipulation involving option participants. Mr. Mileto holds a BBA with a
concentration in Finance from Iona College. He is also a graduate of FINRA’s Leadership at Wharton
Steven Price is Senior Vice President who oversees FINRA’s National Cause Program, which was created
in 2020 to consolidate the intake and investigation of matters based on triggering events or regulatory
intelligence across the U.S. He also participates in multiple organizational committees and initiatives designed to establish FINRA as a leader in regulatory vision and to advance the protection of investors.
Mr. Price rejoined FINRA in April 2020 after spending the previous 12 years in multiple roles overseeing broker-dealer compliance and operations for ALPS Distributors and ALPS Portfolio Solutions Distributor.
Mr. Price formerly served in the enforcement units of FINRA and the Colorado Division of Securities, as well as serving on the Colorado Securities Board. Prior to his regulatory roles, Mr. Price was a market maker at the Chicago Board Options Exchange and a litigator with concentration across civil and criminal matters