Diane Golbeck

Ms. Golbeck has worked in the securities industry since 1983 when she registered with FINRA as a Series 7 broker.  She joined the Seattle District Office of FINRA in 1985 as an examiner and quickly established herself as the District’s senior sates practice investigator. In this role, Ms. Golbeck investigated hundreds of complaints and other allegations of wrongdoing, conducted extensive analyses of broker-dealer compliance and supervisory systems, and liased with both small and large firms regarding exception report analysis, periodic account review, and objective account evaluation. In 2000, Ms. Golbeck went into private practice and presently focuses on compliance and supervisory consulting to broker-dealers of all sizes, client representation before regulators, and routine and special situation branch and main office inspections. Ms. Golbeck graduated from Case Western Reserve University School of Law in 1982. She is licensed to practice law before the state courts in Washington and the United States District Court for the Western District of Washington. Ms. Golbeck is an industry arbitrator with FINRA Dispute Resolution, Inc. and also serves on the Securities Industry Continuing Education Program Content Committee.