FINRA's Steven Price Joins Finalis After $34 Billion in Deals
Updated
Updated · WHBL · Aug 13
FINRA's Steven Price Joins Finalis After $34 Billion in Deals
3 articles · Updated · WHBL · Aug 13
Summary
Steven Price, who spent six years at FINRA overseeing thousands of market-investigation probes, has left the regulator to become chief compliance officer at Finalis.
Finalis said Price will bring enforcement and surveillance experience from investigations into insider trading and market manipulation, as well as work launching FINRA's first AI-driven misconduct-referral model.
The move reflects how fintech and AI are reshaping investment banking, letting more bankers leave large firms to launch boutiques and pursue smaller deals with leaner teams.
San Francisco-based Finalis, founded in 2020 by former Kirkland & Ellis M&A lawyer Federico Baradello, provides licensing and compliance infrastructure and says it has facilitated $34 billion in transactions.