Prof. Andrew Tuch Appointed to FINRA’s National Adjudicatory Council

Andrew F. Tuch, a professor of law, has been appointed to a four-year term on the National Adjudicatory Council (NAC) of the Financial Industry Regulatory Authority. The NAC is charged with reviewing initial decisions related to disciplinary and membership proceedings of FINRA, the not-for-profit organization authorized by Congress to regulate the broker-dealer industry. Nationwide, FINRA writes and enforces rules to govern the activities of 3,700 broker-dealers and 630,000 brokers.
Professor Tuch teaches and writes in the areas of financial and securities regulation, corporate law and theory, broker-dealer regulation, and agency law. His scholarship has appeared in a variety of leading journals both in the United States and overseas. He is a two-time recipient of the Brudney Prize for the Best Paper in Corporate Governance at Harvard Law School, where he was a Fulbright Scholar and an Olin Fellow in Law and Economics.
In addition to Tuch, the members of the 14-member NAC are:
  • Norman Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC
  • Belinda Anne Blaine, Managing Director, Morgan Stanley
  • Evan Jeremy Charkes, Managing Director and Associate General Counsel, Bank of America
  • Jill E. Fisch, Professor of Law, University of Pennsylvania Law School
  • A. Christine Hurt, Professor of Law, BYU Law School
  • Ilene Marquardt, Sr. Deputy General Counsel and Managing Director, UBS Group AG
  • Robert L. McDonald, Professor of Finance, Kellogg School of Management, Northwestern University
  • John P. Meegan, Chief Operating Officer, Hefren-Tillotson, Inc.
  • Paige W. Pierce, President, PSP Consulting
  • Joshua D. Rogers, Founder and CEO, Arete Wealth Management
  • Robert P. Scales, Former General Counsel and Chief Compliance Office, Columbia Acorn Trust
  • John H. Sturc, former Chief Counsel, US Department of Treasury’s Office of Financial Stability
  • Stephen L. Williams, Retired
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Prof. Andrew Tuch