Gibson to
Oversee Securities in Kentucky
Division
Regulates Investment Firms and Professionals
FRANKFORT, Ky. (June 1, 2018) - Marni Rock
Gibson is returning to her Department of Financial Institutions (DFI) roots as
she assumes the role of Securities Division Director, overseeing supervision of
securities firms and professionals operating in Kentucky.
Gibson joined
DFI’s Securities Enforcement Branch in March 2009 as a securities examiner. She
had a successful record of protecting investors and holding fraudsters
accountable for harming Kentucky residents. She also was an active member of
the North American Securities Administrators Association Investor Education
Alerts and Advisories Project Group. In March 2015, she became the Securities
Enforcement Branch Manager.
In August 2016,
Gibson’s management skills were recognized as she was appointed Depository
Division Director, overseeing state-chartered banks and credit unions in
Kentucky.
“Marni has
provided excellent leadership during her tenure as the Depository Division
Director. Her knowledge of the
securities industry and management skills will be beneficial to the Securities
Division and the entire Department,” said DFI Commissioner Charles Vice.
Prior to
joining DFI, she held positions in the securities and banking industries, where
she served as a relationship banker and a branch manager.
Gibson earned a
bachelor’s degree – with a double major in economics and business
administration with a finance emphasis – from Transylvania University. She also
holds a Master’s in Business Administration.
“I’ve enjoyed
working in bank and credit union supervision and gained expertise I hope will
benefit the Securities Division,” Gibson said. “I look forward to returning my
focus to investor protection and securities regulation.”
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DFI, http://kfi.ky.gov,
is an agency in the Public Protection Cabinet. For more than 100 years, it has
supervised the financial services industry by examining, chartering, licensing
and registering various financial institutions, securities firms and
professionals operating in Kentucky. DFI’s mission is to serve Kentucky
residents and protect their financial interests by maintaining a stable
financial industry, continuing effective and efficient regulatory oversight,
promoting consumer confidence, and encouraging economic opportunities.
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