Stephen O. Simon

Senior Consultant

Stephen’s securities industry experience includes over 22 years with FINRA in the New York City and Woodbridge, NJ district offices. In both District offices, Stephen worked in the examination, CORE and membership application process (MAP) sections. Upon the establishment of the New Jersey District office, Stephen managed the MAP section, while continuing to be a supervisor with the examination and CORE programs.

In the New York district office, he was a supervisor in the District’s Enforcement Section. He was recognized as a national expert in MAP. Furthermore, Stephen was a member of a two-person team that worked on a knowledge transfer project that targeted FINRA’s MAP program specifically, but that also has implications for all of FINRA’s regulatory programs.

Stephen is a 1977 graduate of London Metropolitan University, London, England with a Bachelor of Arts degree in Accounting