Robert C. Errico

Executive Vice President, Member Regulation

Mr. Errico is Executive Vice President, Member Regulation at FINRA, and is responsible for the ongoing surveillance and annual examinations of firms for sales practice compliance. He held the same title at NASD, which consolidated with NYSE Member Regulation to form FINRA in 2007.

Mr. Errico has more than 30 years of experience in the securities industry. Before joining NASD in 2003, Mr. Errico was Senior Vice President for Capital Markets Oversight at Charles Schwab & Co., Inc., as well as General Counsel for Schwab Capital Markets LP, where he was based in New Jersey. Prior to that, he was co-head of Legal Affairs-North America for Swiss Bank and General Counsel for S.G. Warburg (USA). He was also Associate General Counsel at Dillon Read & Co., Inc. Mr. Errico began his career at LF Rothschild, where he received successive promotions to the position of Chief Compliance Officer and Associate General Counsel. He has been involved in industry groups such as SIA Public Trust and Confidence Committee, SIA Amicus Committee, SIA Self-Regulatory and Supervisory Committee, and the SIA Compliance and Legal Division for which he served as its president in 1997-1998. He was also recently on the CBOE's Business Conduct Committee.