David Chapman, Esq.
David Chapman is Vice President in the Market Regulation Department of FINRA where he manages the
Market Analysis and Audit Trail teams. These teams are responsible for conducting investigations regarding
various reporting and market structure rules.
Prior to this position, Mr. Chapman managed the Market
Manipulation Investigations and Trading Systems teams, where he led investigations into various market based manipulative activities. Mr. Chapman has worked in the financial services industry for 29 years and
has been with FINRA for the last 25 years. Mr. Chapman earned a B.B.A. in Accounting, M.S. in Finance,
both from Loyola University Maryland, and a J.D. from the Columbus School of Law at Catholic University.
Shelly Bohlin is President and Chief Operating Officer of FINRA CAT LLC, a subsidiary of FINRA that is the
Plan Processor for the Consolidated Audit Trail (CAT). She also co-chairs the CAT Industry Member
Technical Specifications Working Group. In addition, Ms. Bohlin served on the CAT Plan Participant
Leadership Team until FINRA was selected as the CAT Plan Processor.
Previously, Ms. Bohlin was Vice
President in the Quality of Markets Section of FINRA’s Market Regulation Department. She oversaw the
Market Analysis and Audit Trail Group, which is responsible for monitoring member-firm compliance with
FINRA rules and federal securities laws related to market making, order handling, trade reporting and
FINRA’s Order Audit Trail System (OATS). She is a Certified Public Accountant and has a B.S.B.A. in Finance
and Accounting from the University of Arkansas
Doug Pratt is Senior Director in the Quality of Markets group within FINRA’s Market
Regulation Department. Mr. Pratt oversees the CAT Compliance Team which
conducts surveillance to ensure Industry Member compliance with the various
reporting requirements of the Consolidated Audit Trail. Mr. Pratt served in a similar
role within Market Regulation as the Senior Director of the Order Audit Trail System
(OATS) Compliance Team until OATS was retired last year.
Before joining FINRA
in 2007, Mr. Pratt worked in the surveillance department of a small broker dealer,
drafting internal compliance procedures and conducting onsite examinations of
branch offices to ensure adherence to FINRA rules. Prior to that, Mr. Pratt spent
nearly seven years as an over-the-counter position trader for Raymond James Financial at their home office
Mr. Pratt earned his Bachelor of Science Degree in Finance from the University of Florida
Peter G. Stoehr
Peter G. Stoehr is Vice President of the Trading and Execution Firm Group (“T&E”)
within FINRA’s Market Regulation Department. T&E conducts equities, options,
fixed income, and financial operations cycle examinations as well as for-cause
examinations for compliance with FINRA, SEC and Exchange related trading rules
Mr. Stoehr is responsible for the management of the T&E Options,
Equities, Trading Specialist Group, and For-Cause Examination Program. He has
been with FINRA since 1997 and prior to that was employed at Pershing LLC.