Richard W. Berry

Executive Vice President & Director-Dispute Resolution at Financial Industry Regulatory Authority, Inc.

Richard W. Berry

Richard W. Berry

Executive Vice President & Director-Dispute Resolution at Financial Industry Regulatory Authority, Inc.

Biography

Richard W. Berry is Executive Vice President and Director of Dispute Resolution.

Prior to serving in this capacity, Mr. Berry was Senior Vice President, Dispute Resolution. In that role, he oversaw the four regional offices-New York, Boca Raton, Chicago and Los Angeles-and the New York Case Administration unit.

Mr. Berry joined FINRA, then NASD, in 1995 as head of Dispute Resolution's Los Angeles office. In 2001, he was named Director of Case Administration in the New York City office.

Prior to joining FINRA, he taught American law for one year in Budapest. Mr. Berry began his career practicing law in San Francisco. He is a graduate of the University of California at Santa Barbara and Hastings College of the Law. Mr. Berry is a member of the California Bar.

Overview
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707

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Senior Vice President, Chief Counsel & Director of Mediation & Strategy at FINRA Dispute Resolution, Inc.

Relationship likelihood: Strong

Executive Vice President & Chief Information Officer at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Chief Financial & Administrative Officer & Executive Vice President at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Former Chief Regulatory Officer at NYSE Group, Inc.

Relationship likelihood: Strong

Governor at Financial Industry Regulatory Authority, Inc.

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Chief Economist & Senior Vice President at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Chief Legal Officer & Executive Vice President at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Head, Office of Financial & Operational Risk Policy-Office of General Counsel at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

Executive Vice President & Head of Member Regulation-Sales Practice at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

President & Chief Executive Officer at Financial Industry Regulatory Authority, Inc.

Relationship likelihood: Strong

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Richard W. Berry
Executive Vice President & Director-Dispute Resolution at Financial Industry Regulatory Authority, Inc.
Career History
Executive Vice President & Director, Dispute Resolution
Current

FINRA IS DEDICATED TO INVESTOR PROTECTION AND MARKET INTEGRITY THROUGH AND MARKET INTEGRITY THROUGH EFFECTIVE AND EFFICIENT REGULATION OF THE SECURITIES INDUSTRY.

Executive Vice President & Director-Dispute Resolution
Current

The Financial Industry Regulatory Authority, Inc. (FINRA) is the largest independent regulator of securities firms doing business with the public in the United States. Our core mission is to pursue investor protection and market integrity, and we carry it out by overseeing virtually every aspect of the brokerage industry. All told, FINRA oversees about 4,245 brokerage firms, about 162,230 branch offices and approximately 630,150 brokers. With approximately 3,400 employees, we are the first line of defense for investors—working in communities all across the nation.

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