Senior US Market Watchdog Official Exits to Join Dealmaking Fintech Finalis The sudden departure of Steven Price, senior vice president of market investigations at FINRA, has raised more questions than answers about the future of regulatory oversight on Wall Street.
Last week, it was announced that Price will join dealmaking fintech Finalis as chief compliance officer, a move that has sparked surprise and concern among industry watchers.
Price's tenure at FINRA was marked by efforts to revamp the watchdog's investigative processes, including developing an AI driven model to centralize complaints and referrals.