Howell Lunn
About Howell Lunn
Howell Lunn serves as a Market Regulation Trading & Financial Compliance Examiner at FINRA, where he has worked since 2021. He has extensive experience in the financial industry, holding senior positions at several firms and contributing to significant revenue growth and client retention.
Work at FINRA
Howell Lunn has been employed at FINRA as a Market Regulation - Trading & Financial Compliance Examiner since 2021. In this role, he conducts examinations of equities and options trading for FINRA member firms. His responsibilities include assessing compliance with Federal Securities Laws and FINRA Rules and By-laws. Lunn specializes in various regulatory areas, including supervision and supervisory control structures, Regulation SHO, Trade Reporting, SEC Rule 606, Large Trader Reporting, and the FINRA Consolidated Audit Trail (CAT).
Career at Instinet Incorporated
Prior to his current role, Howell Lunn served as Senior Vice President of Equity Trading at Instinet Incorporated from 2005 to 2007. During his tenure in the Greater New York City Area, he implemented a hands-on approach to managing client service and back-office support teams. This strategy resulted in a 100% retention rate of top clients, demonstrating his effectiveness in client relationship management.
Experience at Convergex
Howell Lunn worked at Convergex as Senior Vice President, Sales Executive, and Pod Leader from 2007 to 2017. Over the course of ten years in the Greater New York City Area, he contributed to the firm's revenue growth by introducing soft dollar management services, which produced an additional 20% in revenues. His leadership in sales and business development was instrumental in driving the firm's success.
Role at Cowen Inc.
From 2017 to 2019, Howell Lunn held the position of Senior Vice President, Sales Executive, and Pod Leader at Cowen Inc. in the Greater New York City Area. In this role, he continued to build on his extensive experience in sales and business development within the financial services industry.
Education and Expertise
Howell Lunn earned a Bachelor's degree in Business/Managerial Economics from SUNY Oneonta. His educational background has provided him with a solid foundation in economic principles, which he applies in his various roles in the financial industry. Lunn's expertise encompasses trading compliance, market regulation, and client service management.