FacultyFaculty/Author Profile
Gina M. Gombar

Gina M. Gombar

LPL Financial LLC
Vice President, Associate Counsel
Boston, MA, USA

GINA GOMBAR is a Vice President, Associate Counsel in the Regulatory Inquiries and Investigations Department at LPL Financial LLC. She manages and defends regulatory examinations and investigations involving LPL and/or its associated persons, evaluates legal and regulatory risk and exposure, advises internal departments about risk areas, drafts internal policies and procedures for business units and provides legal guidance regarding regulatory requirements. 

Ms. Gombar was formerly the Deputy Enforcement Chief for the Massachusetts Securities Division within the office of the Secretary of the Commonwealth. For fourteen years she represented the Enforcement Section as lead counsel or co-lead counsel in securities regulatory investigations and administrative adjudicatory proceedings. She successfully negotiated numerous administrative settlements resulting in restitution for investors, administrative fines and other penalties. She regularly coordinated with federal law enforcement and investigative agencies on criminal prosecutions and was appointed a Special Assistant Attorney General.

Ms. Gombar is currently representing LPL Financial as a member of the North American Securities Administrators Association (NASAA) fee disclosure working group and   previously served on numerous committees and special project groups for NASAA, including the Board Level Federal Legislation Committee and the Corporation Finance Project Group.

Ms. Gombar graduated cum laude from the University of Massachusetts at Amherst and New England Law¦Boston. As an adjunct faculty member at New England Law, she teaches Appellate Advocacy.


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