Anne Lucas
About Anne Lucas
Anne Lucas is a Senior Case Specialist at FINRA, where she has worked since 2016. She holds a Bachelor of Business Administration in Management Information Systems from Florida Atlantic University and has extensive experience in arbitration and case coordination.
Work at FINRA
Anne Lucas has been employed at the Financial Industry Regulatory Authority (FINRA) since 2009. She currently holds the position of Senior Case Specialist, a role she has occupied since 2016. In this capacity, she independently determines the composition of arbitration panels and reviews arbitrator information for conflicts. She also serves as a host on pre-hearing conference calls and telephonic expungement hearings, facilitating communication between parties and arbitrators. Prior to her current role, she worked as an Associate Case Coordinator and as a Logistical Assistant/Case Coordinator, gaining extensive experience in case management and arbitration processes.
Education and Expertise
Anne Lucas studied at Florida Atlantic University - College of Business, where she earned a Bachelor of Business Administration (B.B.A.) with a focus on Management Information Systems. Her studies spanned from 2013 to 2015. This educational background has equipped her with the skills necessary for her roles at FINRA, particularly in case management and arbitration.
Background
Before joining FINRA, Anne Lucas worked at JM Family Enterprises, Inc. as a Customer Service Representative for 10 months in 2008. Her early career experience laid the foundation for her subsequent roles in case coordination and management at FINRA, where she has developed a strong understanding of the regulatory environment and arbitration processes.
Training and Guidance
In her current role at FINRA, Anne Lucas occasionally trains and provides guidance to staff as needed. This aspect of her job highlights her commitment to fostering a knowledgeable workforce and ensuring that team members are well-equipped to handle their responsibilities within the organization.
Role in Arbitration Processes
Anne Lucas acts as a liaison between parties and arbitrators, facilitating the resolution of pre-hearing motions and requests. Her responsibilities include hosting pre-hearing conference calls and managing telephonic expungement hearings, which are critical components of the arbitration process at FINRA.