Patricia Casimates

Vice President of Market Operations, FINRA

Patricia Casimates is the Vice President of Market Operations for FINRA Transparency Services.  Her responsibilities include FINRA’s TRACE, Alternative Display Facility (ADF), and the OTC trade reporting facility.  In addition, she also manages OTC corporate action and dividend announcements.  Prior to Market Operations, Ms. Casimates was Deputy Director, in FINRA’s Market Regulation Department, overseeing surveillance for trade reporting, order handling, best execution, FIPS (Fixed Income Pricing System) as well as the real-time surveillance area, handling backing away complaints, and locked/crossed market issues.  Additionally, she worked in FINRA’s Enforcement Department.  Ms. Casimates has earned an MBA in Finance from Loyola College and a Bachelors of Business Administration in Finance from Adelphi University.