Terrence Bohan is Vice President of Investigations for the FINRA Enforcement
department. In that capacity, he manages Enforcement’s investigators located
throughout the various FINRA offices nationwide as they investigate potential
securities violations and, when warranted, bring formal disciplinary actions against
firms and their associated persons.
Mr. Bohan also oversees the Forensic
Investigations and Litigation Support group, which supports FINRA’s use of forensic
tools and e-discovery technologies. He joined FINRA in 2018. Before joining
FINRA, Mr. Bohan spent more than 23 years with the SEC’s New York Regional
Office’s broker-dealer inspection program, primarily as a cause examination
manager. In that role, Mr. Bohan identified and developed numerous significant
cases involving fraudulent securities offerings, manipulations, Ponzi schemes, unregistered distributions of
securities, money laundering and egregious sales practice schemes.
He has worked extensively with law
enforcement in the New York area, including the U.S. Attorney’s Office, FBI, IRS, Postal Inspection Service
and Manhattan District Attorney’s Office. Mr. Bohan received his Bachelor of Science in finance from Fordham
Christopher Kelly serves as the Regional Chief Counsel for the North Region of FINRA’s Enforcement Department. As Regional Chief Counsel, Mr. Kelly oversees the work of the Enforcement Staff in the Boston, New Jersey, and Philadelphia District Offices. Prior to joining FINRA, Mr. Kelly served as Deputy Chief of the Criminal Division at the U.S. Attorney’s Office for the District of New Jersey. In that role, Mr. Kelly supervised more than 35 Assistant U.S. Attorneys in the Office’s white collar units: Economic Crimes, National Security, Healthcare and Government Fraud, and Cybercrime.
Prior to his promotion to the position of Deputy Chief, Mr. Kelly served as the Chief of the Economic Crimes Unit at the U.S. Attorney’s Office, where he oversaw the Office’s prosecution of complex economic crimes, including crimes involving insider trading, securities fraud, tax evasion, bank fraud, corporate fraud and embezzlement. Mr. Kelly also served as the lead prosecutor on several complex matters, including U.S. v. Tiger Asia, one of the first ever criminal prosecutions of a hedge fund. Mr. Kelly graduated from Duke University and Harvard Law School. Prior to joining the U.S. Attorney’s Office, he was an associate at the law firm Dechert LLP. Mr. Kelly also clerked for the Honorable Joseph E. Irenas, U.S. District Court Judge for the District of New Jersey.
Lara Thyagarajan, Esq.
Lara Thyagarajan is FINRA’s Senior Vice President, Head of Market
Regulation Enforcement and Litigation. Prior to serving in her current role, Ms.
Thyagarajan was the Senior Vice President and Counsel to the Head of
Enforcement and prior to that was the Chief Counsel for the New York Region
in FINRA’s Department of Enforcement.
She joined FINRA's predecessor,
NASD, in 2006. Before joining FINRA, Ms. Thyagarajan was a partner in the
securities enforcement defense practice of a Boston law firm where she focused
on the defense of investment advisors and broker-dealers primarily in SEC
investigations and hearings. Ms. Thyagarajan graduated from Boston College
Law School and received her B.A. from Boston University.
Kayte Toczylowski is Vice President of Member Relations and Education for FINRA. In leading the Member Relations and Education Department, Ms. Toczylowski’s responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms.
Ms. Toczylowski also oversees FINRA’s Member Education area, which includes FINRA conferences and other member firm educational offerings such as the FINRA Institute at Georgetown for the Certified Regulatory and Compliance Professional (CRCP)® designation. Ms. Toczylowski has been with FINRA since 2011 and spent nine years in Member Supervision’s examination program. Most recently,
Ms. Toczylowski was an Examination Director located in the Philadelphia, PA office, where she led geographically dispersed exam teams responsible for planning and executing Member Supervision’s examination program relative to a subset of firms engaged primarily in Capital Markets & Investment Banking Services. She entered the securities industry in 2003 in the compliance department of Janney Montgomery Scott, a regional broker-dealer headquartered in Philadelphia.
The majority of her eight-year career at Janney was spent as a compliance examiner for the firm’s branch network. Ms. Toczylowski has a Bachelor of Arts degree in English from Villanova.