Robert A. Marchman, Esq.

He, Him, His

In May 2018, Mr. Marchman, FINRA Fellow, assumed the role of Special Advisor to the Head of the Department of Enforcement. His responsibilities include providing advice and guidance to the Department Head on a variety of programmatic, operational and policy issues related to the FINRA’s recently merged enforcement programs including matters pertaining to FINRA’s Regulatory Service Agreement clients. Mr. Marchman also continues to play a major role in providing guidance to FINRA senior management with regard to its diversity and inclusion efforts including serving as the Executive Sponsor for the newly formed Generations Employee Resource Group and the Executive Diversity Leadership Council. In addition, Mr. Marchman continues to be a regular speaker on financial services regulation as well as diversity and inclusion issues panels.

In June 2010, Mr. Marchman joined the Financial Industry Regulatory Authority (FINRA) as Executive Vice President and Head of the Market Regulation Department’s Legal Group (the Group prosecutes violations of market rules and federal securities laws such as the recent significant disciplinary actions involving manipulative high-frequency trading activity) in the continuation of a career devoted exclusively to protecting the interests of the investing public.

Prior to joining FINRA, Mr. Marchman headed the New York Stock Exchange Regulation’s Enforcement Division and Regulatory Risk Group as well as its Market Surveillance Department. During his tenure at the NYSE Mr. Marchman directed several high profile and significant securities regulation disciplinary actions including the research analysts conflict of interest and specialist trading ahead cases, developed and implemented a new regulatory risk assessment program and lead the surveillance department in the implementation of new and robust surveillances through a period of challenge and change at the NYSE.

Mr. Marchman also served as Chairman of NYSE Diversity Council from its inception in 1999 until his departure from the NYSE. In his role as Chairman he played a critical role in leading important Exchange initiatives such as recruitment and retention efforts, mentoring, financial literacy programs and outreach to communities of color.

Prior to joining the NYSE in 1989, Mr. Marchman was a Branch Chief in the U.S. Securities and Exchange Commission’s Division of Enforcement in Washington, D.C., where he started his stellar legal career in 1983.

Mr. Marchman is a magna cum laude graduate of Allegheny College, where he was inducted into Phi Beta Kappa and received his J.D. from the University of Pennsylvania. In addition, Mr. Marchman attended Harvard Business School’s Program for Management Development. Mr. Marchman’s involvement in civic affairs includes board membership service for organizations such: as Allegheny College (Board of Trustees); Operation HOPE (financial literacy for children and adults); PFLAG (social justice); the NSHSS Foundation (educational opportunities for underrepresented high school students in the sciences); CEE (financial literacy for children and adults); University of Pennsylvania Law School Board of Managers; Maplewood Township Zoning Board; and the Community Coalition on Race of South Orange – Maplewood (Chairman).

Mr. Marchman has also served on a number of the South Orange – Maplewood School District committees. Mr. Marchman is also a Lector at Our Lady of Sorrows Church in South Orange, NJ.

Mr. Marchman, the first African-American Executive Vice President at the NYSE, has been the recipient of awards for professional accomplishments as well as community and civic service including: Savoy Magazine’s “2016 Top 100 African – Americans in Corporate America”; Rainbow PUSH/Wall Street Project 2016 Distinguished Career and Diversity Champion Award; Upstanding’s 2016 International Top 100 Ethnic Minority Executive Power List; University of Pennsylvania Law School 2012 Alumni Award of Merit; National Multicultural Institute’s Leading Light Diversity Award; NV Magazine “Wall Street” Achievement Award; Allegheny College Alumni Award (professional accomplishments); Harlem YMCA “African – American Achiever” Award; Junior Achievement Volunteerism Award; The Urban League of Essex County “Dare to Dream” Award; The South Orange Civic Association “Beloved Community Contributor” Award; CCR’s Visionary Community Leader Award; Wall Street in Black “Industry Pioneer” Award; Operation HOPE Chairman’s Award and the Youth About Business “Commitment to Excellence” Award.

Mr. Marchman, a native of Brooklyn, NY, resides in Maplewood, NJ.