FINRA Unscripted

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FINRA

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FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.

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Phone Numbers

General inquiries contact number: 301-590-6500

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FINRA Support Center address: 1700 K Street, NW Washington, DC 20006

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me***@finra.org

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Recent Hosts, Guests & Topics

Here's a quick summary of the last 3 episodes on FINRA Unscripted.

Hosts

FINRA Unscripted

Previous Guests

Elizabeth Yoka

Elizabeth Yoka is the manager of the VAST Intake team at FINRA, where she oversees the intake process for inquiries and concerns related to vulnerable adults and seniors. With a background in regulatory compliance and investor protection, she plays a crucial role in ensuring that the FINRA Securities Helpline for Seniors effectively addresses the needs of vulnerable investors.

Michael Paskin

Michael Paskin is the manager of the VAST Investigations team at FINRA. He is responsible for leading investigations related to the protection of vulnerable adults and seniors in the financial markets. With extensive experience in regulatory oversight and a commitment to safeguarding investor interests, Michael contributes significantly to the effectiveness of the FINRA Securities Helpline for Seniors.

Rob Mascio

Rob Mascio is the Director of the FINRA Investor Education Foundation, where he leads initiatives aimed at educating investors about financial fraud and promoting informed investment decisions. With a background in financial regulation and consumer protection, Rob has been instrumental in developing resources and tools that help investors recognize and avoid scams. His expertise includes analyzing trends in financial fraud and providing practical advice to safeguard investments.

Jim Reese

Jim Reese is the Senior Vice President of Data and Analytics for Member Supervision at FINRA. He leads initiatives focused on leveraging data to enhance regulatory oversight and improve compliance within the broker-dealer industry.

Brita Bayatmakou

Brita Bayatmakou serves as a Vice President at FINRA, where she plays a key role in the Strategic Intelligence and Analytics (StratIntel) team. Her expertise lies in analyzing industry trends and developing strategies to mitigate emerging risks.

Clint Johnson

Clint Johnson is a Vice President at FINRA and a member of the StratIntel team. He focuses on utilizing data analytics to support FINRA's mission of investor protection and to enhance the organization's risk monitoring capabilities.

Topics Discussed

FINRA Securities Helpline for Seniors investor protection Vulnerable Adults and Seniors Team Elizabeth Yoka Michael Paskin 10th anniversary financial fraud scams fraud trends red flags safeguarding investments data risk StratIntel team intelligence gathering risk monitoring analytics market integrity

YouTube Channel

Channel Info

FINRA

@finra

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Channel Stats

Subscribers: 2,200

Total Videos: 167

Total Views: 3,899,455

Joined: Aug 3, 2008

Location: United States

Description

FINRA is the Financial Industry Regulatory Authority. We're an independent regulatory organization empowered by the federal government to ensure that America's 90 million investors are protected.

It's our job to ensure that brokers and securities firms play by the rules. We do this by conducting routine examinations of registered brokers and securities firms—and investigating brokers and securities firms against whom complaints have been made. If we find that brokers have violated the rules, we can fine, suspend or even bar them from the industry. Last year, we returned more than $1 billion to harmed investors.

Another key part of our mission is to educate investors. An informed investor is a safer and more confident investor—and we're committed to keeping investors up to date on potential investment scams and actions taken against dishonest brokers. Our Web site offers unbiased educational resources and tools to help investors evaluate investment products and professionals.

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@finraofficial

FINRA

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Followers: 2,551

Posts: 70

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Account Type: Business

Privacy: Public

Biography

Up your investing IQ with FINRA—the not-for-profit SRO that regulates member brokerage firms in the U.S. and analyzes billions of daily market events.

Links

https://simplybio.io/finraofficial/

Episodes

Here's the recent few episodes on FINRA Unscripted.

0:00 27:29

Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary

April 01, 2025

Elizabeth Yoka Michael Paskin

FINRA Securities Helpline for Seniors investor protection Vulnerable Adults and Seniors Team Elizabeth Yoka Michael Paskin 10th anniversary

This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and assist harmed investors. On this FINRA Unscripted podcast episode, we will be speaking with leaders from FINRA’s Vulnerable Adults and Seniors Team—Elizabeth Yoka, the manager of VAST Intake, and Michael Paskin, the manager of the VAST Investigations, to discuss the Helpline and its 10 years of protecting investors. We will be focusing on the Helpline results and will provide a few examples of how the Helpline has become an effective conduit for investor protection, and how it has been helpful to member firms.

Resources mentioned in this episode:

FINRA Securities Helpline for Seniors

Ep. 152: Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team

FINRA Rule 2165

FINRA Rule 4512

FINRA Rule 3241

2025 Annual Regulatory Oversight Report

Find us: X / YouTube /LinkedIn / Facebook / E-mail

Resources mentioned in this episode:

FINRA Securities Helpline for Seniors

Ep. 152: Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team

FINRA Rule 2165

FINRA Rule 4512

FINRA Rule 3241

2025 Annual Regulatory Oversight Report

Find us: X / YouTube /LinkedIn / Facebook / E-mail

0:00 31:16

Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape

March 04, 2025

Rob Mascio

financial fraud investor protection scams fraud trends red flags safeguarding investments

As we observe National Consumer Protection Week amid a growing and changing financial fraud landscape, the time is ripe to talk about the ways in which investors can protect themselves from financial scams.

On this episode, we sit down with Rob Mascio, Director of the FINRA Investor Education Foundation, to talk about the latest fraud trends, common red flags to watch out for and practical steps investors can take to safeguard investments.

Resources mentioned in this episode:

2025 Annual Regulatory Oversight Report

Investor Alert: Social Media ‘Investment Group’ Imposter Scams on the Rise Romance Scams

FINRA Securities Helpline for Seniors

FINRA Investor Education Foundation

Protecting Consumers from Fraud

Ep 162: The Victim Experience: When Romance Leads to Crypto Scam

Ep. 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals

Ep. 169: Unpacking the 2025 Regulatory Oversight Report

Find us: X / YouTube /LinkedIn / Facebook / E-mail

0:00 35:15

Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team

February 11, 2025

FINRA Unscripted

Jim Reese Brita Bayatmakou Clint Johnson

data risk StratIntel team intelligence gathering risk monitoring analytics investor protection market integrity

As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripted, the leaders of FINRA's new Strategic Intelligence and Analytics (StratIntel) team discuss how they are working to identify and analyze these industry developments.

On this episode, we sit down with the leaders of the StratIntel team: Senior Vice President of Data and Analytics for Member Supervision Jim Reese, and his two Vice Presidents, Brita Bayatmakou and Clint Johnson. The three share insights on how this new team is evolving FINRA's approach to intelligence gathering and risk monitoring, and the innovative ways they are using data and analytics to support FINRA's mission of investor protection and market integrity.

Resources mentioned in this episode:

2025 Regulatory Oversight Report

3110. Supervision

Episode 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals

Episode 169: Unpacking FINRA’s 2025 Regulatory Oversight Report

Find us: X / YouTube /LinkedIn / Facebook / E-mail

Resources mentioned in this episode:

2025 Regulatory Oversight Report

3110. Supervision

Episode 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals

Episode 169: Unpacking FINRA’s 2025 Regulatory Oversight Report

Find us: X / YouTube /LinkedIn / Facebook / E-mail