Theresa Ferraina
About Theresa Ferraina
Theresa Ferraina is a Principal Examiner at FINRA, specializing in investigating sales practice concerns within the broker-dealer industry. She graduated first in her class from Loyola University and has extensive experience in risk management and regulatory examinations.
Work at FINRA
Theresa Ferraina has been employed at the Financial Industry Regulatory Authority (FINRA) since 2014, currently holding the position of Principal Examiner (Cause). In this role, she investigates sales practice concerns, including suitability, unauthorized trading, and excessive trading within the broker-dealer industry. Prior to her current role, she served as a Senior Examiner (ANC) at FINRA from 2011 to 2013. Her extensive experience at FINRA has equipped her with a deep understanding of regulatory practices and compliance within the financial sector.
Education and Expertise
Theresa Ferraina graduated at the top of her class from Loyola University, maintaining a 4.0 GPA throughout her academic career. She earned a Bachelor of Arts in Finance from Loyola University Maryland, where she studied from 2005 to 2009. Following this, she obtained a Master of Business Administration (MBA) in Management from the same institution, completing her studies from 2009 to 2010. Additionally, she studied at New York University, further enhancing her educational background.
Background
Theresa Ferraina has a diverse professional background that includes experience in risk management and regulatory examination. She worked as a Risk Management Summer Analyst at Citigroup for two months in 2008 and as an Analyst at Constellation for two months in 2010. Her previous roles involved performing regulatory examinations in market and credit risk across various firms, including Goldman Sachs, Barclays Capital, and JP Morgan Chase.
Athletic Involvement
During her time at Loyola University, Theresa Ferraina was an active participant in athletics, playing Division-1 soccer. This involvement in collegiate sports reflects her commitment to teamwork and discipline, qualities that are valuable in her professional career.