Gargi
Sharma
Investigative Director
FINRA
Gargi Sharma is an Investigative Director within FINRA’s Special Investigation Unit and supports a team of five investigators who conduct complex AML and Fraud investigations. Gargi is also involved with identifying industry trends that pose compliance risk, especially related to AML, and providing training internally within FINRA and to the industry. Gargi is CAMS certified and graduated from the University of Texas with Bachelor’s and Master’s degrees in Finance and Accounting. Ms. Sharma works from FINRA’s Florida Office and has been with FINRA for 13 years.