Lecturer Bios
Kosha Dalal, Esq.
Kosha Dalal is Associate Vice President and Associate General Counsel with FINRA’s Office of General Counsel. In this role, she provides legal guidance on various policy initiatives and rule changes / interpretations including, supervision, non-cash compensation, branch office, customer account statements, payments to unregistered persons and corporate actions. She has been with FINRA’s Office of General Counsel since 2000.
Prior to coming to FINRA, she was an associate with the law firm of Venable in Baltimore, MD, Kalkines Zall in New York, NY and Skaden Arps in New York, NY. Ms. Dalal attended Columbia University in New York, NY where she received a bachelor’s degree in political science and economics. She received her law degree from Brooklyn Law School.
Noah Egorin, Esq.
Noah Egorin is Product Manager and the Director of FINRA’s Firm Compliance Tools unit. Since joining FINRA in 2003, he has focused on developing tools to assist broker-dealers with compliance activities. Recently his efforts have focused on compliance tool offerings associated with variable annuity exams, mutual funds, and municipal bond disclosure. Mr. Egorin has responsibility for the FINRA Report Center (and associated Report Cards), FINRA’s Online Manual, and other interactive tools.
Mr. Egorin has also supported FINRA’s efforts to syndicate investor education materials and developing data interfaces for FINRA systems. Prior to joining FINRA, Mr. Egorin served as Group Manager for the Product Planning practice of the Adrenaline Group, a Washington, DC-based consulting firm that assisted firms with commercial product development, and also spent time as a Program Manager on the Microsoft Office team in Redmond, WA. Mr. Egorin holds a BS in Computer Science from Washington & Lee University.
John Hickey
John Hickey is the Deputy District Director for the FINRA New York District Office. He supports the Director in leading and managing the Cycle and Branch regulatory programs for approximately 1000 member firms. Additionally, he works with the Regional Director, District Director, Associate District Directors and Surveillance Directors to develop and implement strategic and tactical measures necessary to ensure timely, high-quality completion of District’s regulatory programs.
Prior to this role, John served as an Associate Director at FINRA and managed a unit of approximately 23 individuals responsible for conducting cycle, cause and branch examinations of several member firms. John has over 16 years of regulatory experience while employed at FINRA and prior to that at NASD and has worked as an examiner, supervisor and manager during his career.
Before joining NASD, John spent three years in the Operations Department at a clearing firm, where he worked in the Margin Department. Mr. Hickey has a B.S. in Management from University of Rhode Island. Mr. Hickey also holds the Certified Regulatory and Compliance Professional TM, CRCPTM designation.
Meaghan Alvarez
Meaghan Alvarez joined FINRA’s Office of Strategic Engagement as Senior Director, Strategic Engagements and Publications, in September 2023. In her role she works with a team to produce Member Supervision related reports, notices, compliance tools, and alerts for member firms. She also works with a team to review engagements with member firms and other external audiences where FINRA Member Supervision is able to provide useful observations and guidance for firms.
Meaghan has over 18 years dedicated to compliance, supervision, and risk mitigation in financial services. Before joining FINRA, she worked on the member firm side, and most recently was the Vice President and Chief Compliance Officer for a broker-dealer and RIA firm. In her CCO roles Meaghan implemented strategies to ensure compliance with policies, procedures, and regulatory requirements.
Meaghan earned a B.A. from UCLA and is a Certified Regulatory and Compliance Professional (CRCP) graduate. Prior to joining FINRA, she also served as a member of the FINRA Midwest Regional Committee and the FINRA Membership Committee, as well as the FSI Compliance Council.
Eric Chandler
Eric Chandler is Senior Director of Member Supervision’s Operations, Procedures and Standards group. In his current role, he oversees the enhancement of operational infrastructure, centralizing functions, and developing program metrics across Member Supervision. Prior to this role, he served as a leader in Risk Monitoring responsible for the risk assessment and monitoring of certain FINRA member firms, with a focus on the framework of financial, operational, and business conduct controls.
Eric began his career serving in various accounting roles within the Financial Management division of Prudential Financial Incorporated before joining FINRA in 2011. Mr. Chandler earned a Bachelor of Science Degree from the University of Maryland Eastern Shore and continued his education by earning a Master of Business Administration degree from Seton Hall University.
He is designated as a Certified Regulatory Compliance Professional™ (CRCP) program sponsored by the FINRA Institute at Wharton and Certified Anti-Money Laundering Specialist (CAMS).
Paul Rothstein
Paul Rothstein is an Assistant Chief Economist and Senior Director in FINRA’s Office of Regulatory Economics and Market Analysis. Paul leads a team of economists who use FINRA administrative data, along with survey data and other information, to study the broker-dealer industry and assess the economic impacts of FINRA rules on broker-dealers, associated persons and investors.
Paul’s team developed the data and information collection requirements for FINRA’s remote inspections pilot program, and recently conducted data-driven modeling of broker-dealer networks and text-based analysis of FINRA arbitration case strength and outcomes. Before joining FINRA,
Paul was one of the first economists in the Office of Research at the Consumer Financial Protection Bureau, where he developed the Office’s standards and capabilities for regulatory impact analysis and led the first retrospective reviews of Bureau rules. Prior to that, Paul worked in consumer protection at the U. S. Federal Trade Commission and was on the tenured faculty in the Department of Economics at Washington University in St. Louis. Paul has a Ph.D. in Economics from the University of California at Berkeley.
