Lecturer Bios
Robert Colby Esq.
As Chief Legal Officer of FINRA, Robert Colby oversees FINRA’s rulemaking, interpretive, compliance, litigation, and commercial transactions functions, as well as FINRA’s Appellate Office, Departments of Advertising, Corporate Financing, and Dispute Resolution.
Previously, Mr. Colby was a partner in the law firm of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters for financial institutions and markets.
Before joining Davis Polk, Mr. Colby served as Deputy Director in the SEC’s Division of Trading and Markets. In that capacity, he was responsible for the regulation of broker-dealers, markets, and clearing organizations. Before serving as Deputy Director, Mr. Colby was Chief Counsel, and Chief of the Market Structure Branch.
Mr. Colby received his J.D. cum laude from Harvard Law School and his undergraduate degree summa cum laude from Bowdoin College.
Stephanie Dumont, Esq.
Stephanie Dumont is Executive Vice President, Market Regulation and Transparency Services. Working
closely with the SEC and the exchanges, the Department conducts extensive oversight of the securities
markets to protect investors and preserve market integrity. The Department combines examinations of
member firms and innovative automated surveillance that assesses billions of market events each day to
identify potential manipulation or fraud, and to supervise firms’ compliance with FINRA rules and federal
securities laws.
The Department also brings transparency to the equity and bond markets to help investors
make informed investment decisions and improve supervision by regulators and firms. Previously, Ms.
Dumont was Senior Vice President and Director of Capital Markets Policy for FINRA's Office of General
Counsel, where she was responsible for leading the development and interpretation of FINRA rules for market
regulation, and providing legal and policy advice to FINRA management and staff.
Among other areas, she
was responsible for leading the policy and rulemaking legal team addressing trading and customer order
handling practices, order audit trails and market structure for equity, options and fixed income securities. Ms.
Dumont also supported the policy, rulemaking and regulatory reporting functions relating to FINRA's market
transparency facilities and provided legal counsel for FINRA's participation in various National Market System
Plans.
Prior to joining FINRA's Office of General Counsel, Ms. Dumont was Director of Compliance for a
broker-dealer compliance consulting firm. Prior to that position, Ms. Dumont conducted investigations for
NASD's Market Regulation Department in areas such as insider trading, fraud, short selling and options. Ms.
Dumont earned her B.S. in Finance and Management from the University of Virginia and her J.D. from the
University of Virginia School of Law. She also earned her LL.M, with distinction, in Securities and Financial
Regulation from Georgetown University Law Center.
Greg Ruppert, Esq.
Greg Ruppert is Bank Secrecy Act Officer and a Senior Vice President in Charles Schwab Corporation’s Corporate Risk Management department. In his role, Mr. Ruppert is the Chief of the Financial Crimes Risk Management group, which encompasses the enterprise-wide BSA/Anti-Money Laundering, OFAC/Sanctions, Fraud Investigations, Anti-Bribery, Advisor Surveillance and Investigations, Cyber Crime Investigations, and Internal Investigation programs of the corporation.
Mr. Ruppert is also the Corporate Responsibility Officer. Prior to joining Schwab, Mr. Ruppert spent more than 17 years with the FBI. In his last assignment, he was a senior executive at FBI Headquarters in Washington D.C. where he oversaw the Cyber Division's efforts to combat the highest priority cyber threats emanating from Asia, Eurasia, Middle East, and Africa. Mr. Ruppert began his FBI career in the Boston Field Office specializing in complex corporate and securities fraud, money laundering, financial crimes, and cyber fraud. He also served on the Enron Task Force as a senior investigator assigned to investigate Enron’s CFO and other senior corporate officials.
During his tenure with the FBI, Mr. Ruppert also focused on the FBI's anti-terrorism efforts. He led a team, as part of the FBI’s 9/11 investigation, which uncovered the hijackers’ financial activities and sources of funding. He later joined the Terrorist Financing Operations Section where he created a unit responsible for the investigation of terrorism-related money laundering and illegal charity-based fundraising. Mr. Ruppert served internationally in the Netherlands and Germany. He also headed up high profile international terrorism investigations as Assistant Special Agent in Charge of the Extraterritorial Squads based out of the Washington DC Field Office.
Mr. Ruppert is a member of the FinCEN Bank Secrecy Act Advisory Group as well as District Committee Member for FINRA. He is also clinical professor for the University of the Pacific (UOP), School of Engineering and Computer Sciences’ Data Analytics Master’s Program. Mr. Ruppert also serves on the Industry Advisory Board for the UOP’s Cybersecurity Program. Mr. Ruppert is an active member of the California bar.
Kayte Toczylowski
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.
Bill St. Louis
Bill St. Louis is an Executive Vice President and Head of Enforcement. In this role, Mr. St. Louis manages and directs FINRA’s Enforcement national operations. He also leads the development of FINRA’s national enforcement policies and procedures and oversees the prosecution of firms and individuals for disciplinary action.
Before his appointment as Head of Enforcement, Mr. St. Louis led FINRA’s National Cause and Financial Crimes Detection Program (NCFC) within Member Supervision. In that role, he oversaw FINRA’s National Cause Program, Financial Crimes Surveillance, and specialized investigative units covering anti-money laundering, cybersecurity, crypto-assets, high-risk representatives, and vulnerable adults and seniors. He also oversaw FINRA’s Membership Application Program.
Prior to leading NCFC, Mr. St. Louis was Senior Vice President and Firm Group Leader for FINRA member firms assigned to the Retail and Capital Markets firm groupings. In that capacity, he was responsible for managing the Risk Monitoring Program teams for these firms, which includes the assessment of business conduct, financial, operational, and trading risks. Mr. St. Louis was previously the Regional Director of FINRA’s Northeast Region and Director of FINRA’s New York District Office. He also held senior roles in FINRA’s Enforcement Department, including serving as the Regional Chief Counsel for FINRA’s North Region.
Mr. St. Louis earned an undergraduate degree from Baruch College and a law degree from New York University School of Law. Prior to law school, he worked for several years in the compliance department of a New York-based broker-dealer.
