Larry Schwimmer
About Larry Schwimmer
Larry Schwimmer is a Director at FINRA, where he has worked since 2020. He holds a Bachelor of Arts in Quantitative Economics from Tufts University and has extensive experience in regulatory analysis and market manipulation investigations.
Current Role at FINRA
Larry Schwimmer serves as the Director at FINRA, a position he has held since 2020. In this role, he examines member firms' supervisory and market access procedures to ensure compliance with FINRA, SEC, and Exchange rules. He oversees two teams within FINRA's Market Manipulation Group, which focus on investigating fraudulent and manipulative trading activities in the US equities markets. His leadership contributes to maintaining market integrity and protecting investors.
Previous Experience at FINRA
Larry Schwimmer has extensive experience at FINRA, having held multiple positions since 2014. He began as a Regulatory Analyst from 2014 to 2015, then progressed to Manager from 2015 to 2017, and subsequently served as Associate Director from 2017 to 2020. His roles involved increasing responsibilities in regulatory oversight and compliance, culminating in his current directorial position.
Education and Expertise
Larry Schwimmer earned a Bachelor of Arts in Quantitative Economics from Tufts University, where he studied from 2002 to 2006. His educational background provides a strong foundation in economic analysis and quantitative methods, which are essential in his roles within regulatory and compliance sectors.
Professional Background
Before joining FINRA, Larry Schwimmer worked at Business Intelligence Advisors in various capacities. He started as an Analyst from 2006 to 2008, then advanced to Senior Analyst from 2008 to 2010, and finally served as Research Manager from 2010 to 2014. His experience in business intelligence equipped him with analytical skills applicable to regulatory analysis.
High School Education
Larry Schwimmer completed his high school education at Brookline High School, attending from 1998 to 2002. This foundational education contributed to his academic and professional development.