Derek Ashworth is Associate Director in FINRA’s Advertising Regulation Department. The department protects investors by ensuring broker-dealer members of FINRA use communications that are fair, balanced and not misleading. Mr. Ashworth’s primary responsibility is managing staff members dedicated to the routine review of member firm communications. Mr. Ashworth also participates in the Department’s outreach efforts including serving as a panelist in prior FINRA conferences and presenting during selected FINRA Compliance Boot Camps.
He has been with the Advertising Regulation Department for 17 years. Prior to joining FINRA, Mr. Ashworth was a program manager for a business and education partnership at Nova Southeastern University in Fort Lauderdale, FL. Previous to this role, he was a specialty banker and registered representative with First Union in West Palm Beach, FL.
Mr. Ashworth received his bachelor’s degree from Stetson University and completed his M.B.A. at Johns Hopkins University.
Stephanie Gregory, Esq.
Stephanie Gregory is Principal Analyst in FINRA's Advertising Regulation Department. Prior to joining FINRA in 2004, Ms. Gregory worked in compliance and advertising review with a member firm. Ms. Gregory received a bachelor’s degree in economics and political science from Boston University, and her law degree from Pennsylvania State University Dickinson School of Law.
Caroline Waugaman is Principal Analyst in FINRA’s Advertising Regulation
Department. She joined NASD in 1996 before its consolidation with NYSE Member
Regulation, which resulted in the formation of FINRA in 2007. Prior to joining the
Advertising Regulation Department, she was an analyst in the Registration and
Disclosure Department at NASD. Ms. Waugaman received her Bachelor of Science
degree from Strayer University
David Y. Kim
David Y. Kim is Associate Principal Analyst in the FINRA Advertising Regulation
Department, and reviews sales communications filed by member firms. Mr. Kim
joined the Advertising Regulation Department in 2014. He previously worked at a
capital market research company, IPREO. Mr. Kim received a B.A. in Economics
and an M.B.A. from University of Maryland at College Park