FacultyFaculty/Author Profile
Robert A. Marchman

Robert A. Marchman

FINRA
Executive Vice President, Enforcement Department
New York, NY, USA


In June 2010, Robert A. Marchman joined the Financial Industry Regulatory Authority (FINRA) as Executive Vice President and Head of the Market Regulation Department’s Legal Group (the Group prosecutes violations of market rules and federal securities laws such as the recent significant disciplinary actions involving manipulative high-frequency trading activity). 

Mr. Marchman, prior to joining FINRA, worked at New York Stock Exchange Regulation and during his tenure there headed the Market Surveillance Division, the Enforcement Division and the Regulatory Risk Group.  While at NYSE Mr. Marchman directed several high profile and significant securities regulation disciplinary actions including the research analysts conflict of interest and specialist trading ahead cases.

Prior to joining the NYSE in 1989, Mr. Marchman was a Branch Chief in the U.S. Securities and Exchange Commission’s Division of Enforcement in Washington, D.C. 

In addition to his securities regulation responsibilities, Mr. Marchman served as Chairman of NYSE Diversity Council from its inception in 1999 until his departure from the NYSE.  At FINRA, Mr. Marchman serves on the company’s Executive Diversity Leadership Council (whose members include FINRA’s Chairman/CEO) as well as the Executive Sponsor of the FINRA’s Women’s Network Employee Resource Group.

Mr. Marchman is a magna cum laude graduate of Allegheny College, where he was inducted into Phi Beta Kappa and received his J.D. from the University of Pennsylvania.  In addition, Mr. Marchman, the first African-American Executive Vice President at the NYSE, has been the recipient of awards for professional accomplishments as well as community and civic service including: Savoy Magazine’s “2016 Top 100 African – Americans in Corporate America”; Rainbow PUSH/Wall Street Project 2016 Distinguished Career and Diversity Champion Award; Upstanding’s 2016 International Top 100 Ethnic Minority Executive Power List; University of Pennsylvania Law School 2012 Alumni Award of Merit; National Multicultural Institute’s Leading Light Diversity Award; NV Magazine “Wall Street” Achievement Award; Allegheny College Alumni Award (professional accomplishments); Harlem YMCA “African – American Achiever” Award; Junior Achievement Volunteerism Award; The Urban League of Essex County “Dare to Dream” Award; The South Orange Civic Association “Beloved Community Contributor” Award; CCR’s Visionary Community Leader Award; Wall Street in Black “Industry Pioneer” Award; Operation HOPE Chairman’s Award and the Youth About Business “Commitment to Excellence” Award.

Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.