FacultyFaculty/Author Profile

Carolann Gemski

FINRA

Chicago, IL, USA


Carolann Gemski is the Midwest Regional Director of the Office of Dispute Resolution with the Financial Industry Regulatory Authority, Inc. (FINRA).  FINRA is the largest independent regulator of securities firms doing business with the U.S. public.  FINRA’s chief role is to protect investors by maintaining the fairness of the U.S. capital markets, carried out by writing and enforcing rules, examining firms for compliance with the rules, informing and educating investors, helping firms pre-empt risk and stay in compliance, and providing trade reporting and other industry utilities.  FINRA also operates the largest securities dispute resolution forum in the U.S., assisting in the resolution of disputes between and among investors, securities firms and registered representatives. In her role, Ms. Gemski oversees administration of FINRA’s arbitration program in 17 states.

Ms. Gemski has spent the majority of her career working in public service, including 10 years with the Enforcement Division of the U.S. Securities and Exchange Commission in Chicago. Prior to that, Ms. Gemski held the positions of Assistant Corporation Counsel in the General Litigation Division of the District of Columbia Office of Corporation Counsel, Special Counsel for Child Support Enforcement in Rockville, MD, and Associate in private practice in Annapolis, MD. Most recently, Ms. Gemski held senior leadership positions in Compliance at BMO Financial Group and Kaplan Higher Education.  

Ms. Gemski is a graduate of the University of Chicago Booth School of Business (MBA), the American University Washington College of Law (JD, cum laude), and Louisiana State University, (BA, Journalism), and she is a member of the Bar in the District of Columbia, Maryland, and Illinois.

Carolann Gemski is associated with the following items:
Course Handbooks  Course Handbooks Basics of Accounting for Lawyers 2017: What Every Practicing Lawyer Needs to Know
Basics of Accounting for Lawyers 2018
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