Mr. Wright has extensive experience in conducting sales practice and financial examinations of FINRA® member Broker/Dealers which collectively includes 17 years serving as a Principal Examiner with the FINRA District Offices in Washington, DC and Los Angeles, CA. As a FINRA® Principal Examiner, Mr. Wright led and participated in numerous retail and institutional broker dealer cycle and cause examinations including Fintech platforms.
Mr. Wright’s areas of expertise involved complex investments including private placements, structured products, derivatives, ETF’s, mutual funds, and variable insurance products. For examinations that were referred to FINRA's enforcement department, Mr. Wright led in the discovery process and participated in FINRA's “On The Record” (OTR) depositions and is familiar with FINRA's Sanction Guidelines that was developed by the National Adjudicatory Council (NAC).
In addition to William’s tenure with FINRA®, he has extensive experience dealing with institutional and retail registered investment advisors. Mr. Wright worked with FINRA member firms' legal and operations staff to interpret and clarify complex client investment guidelines and FINRA® Rules. William was instrumental and actively engaged in the development and refinement of Investment Policy Statements (IPS) with senior management for Registered Investment Advisory firms’ products and written procedures.
SER Associate Member
Curriculum Vitae