Lecturer Bios
Steven Price
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
Alan Carlisle
Alan Carlisle is Enterprise Chief Compliance Officer at SoFi and is responsible for
the oversight of the compliance management program for SoFi Technologies, Inc.
(Ticker: SOFI) and all of its subsidiaries. With almost 25 years of experience in the
financial services industry and capital markets, Mr. Carlisle has worked with a broad
array of broker dealer business models, including FinTech, Independent, Retail and
Institutional firms.
His expertise lies in design and implementation of risk and
compliance controls, application of existing regulatory frameworks to innovative
technologies, and assessing the overall strengths and weaknesses of compliance
approach and discipline. He holds the Series 4, 7, 9, 10, 24, 27, 53, 55, 63, 65, 79
and 99 securities licenses, as well as the CRCP®
, CRCM, CAMS, CAFP, CGSS, CIPP/US, CIPM, CCIM,
and LEED AP BD+C/O+M credentials.
Robert Chao
Robert Chao is Senior Director, FINRA Member Supervision. He is responsible for
firms in the Retail-Fintech and Retail-Carrying and Clearing groups. Mr. Chao is
currently on the Correspondent Clearing committee, eFocus Redesign committee,
and the Behavioral Science Working Group within FINRA.
He was formerly a
Surveillance Director and an Examination Director and has been at FINRA since
2009. Mr. Chao joined FINRA from UBS Financial Services, Inc., where he worked
from 2007 to 2009, serving as a Director responsible for financial and regulatory
reporting.
Prior to joining UBS, he was a Vice President in the Finance group at J.P.
Morgan Securities Inc. He was with the NYSE from 1994 to 1997 as an Examiner in
Member Firm Regulation. Mr. Chao received his Bachelor of Science in Finance at New York University and
was previously a registered principal holding series 7, 9/10, and 27 licenses.
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.
