Michael Solomon

Senior Vice President, Examinations Financial Industry Regulatory Authority (FINRA)

Michael Solomon heads FINRA’s national examination program with a team of 750 examiners and managers who complete approximately 1,000 sales practice and financial exams annually. Michael also oversees FINRA’s Membership Application Program and Statutory Disqualification Program.

Prior to joining FINRA, Michael was the General Counsel and Chief Compliance Officer for Rockefeller Financial LLC. Prior to Rockefeller, Michael was the Northeast Regional Director for FINRA, where he had responsibility for the examination and surveillance programs in the region and oversaw a staff of 350. Michael has also had senior legal and compliance roles at several firms, including Jefferies, UBS and Merrill Lynch. Michael served as a trial counsel in the NYSE Enforcement Division and began his career as a prosecutor in Manhattan where he investigated and prosecuted violent street crime, narcotics trafficking, fraud, and organized crime.

Michael received his JD from NYU School of Law and a BA from Wesleyan University.