| Lawrence G. McDonald Noted Economist and Author Mr. McDonald is currently Managing Director, head of the US Macro Strategies group at Société Générale, based in New York City. At the height of the 2008 financial crisis, Mr. Lawrence McDonald wrote a book on the fall of Lehman Brothers, “A Colossal Failure of Common Sense: The Inside Story of the Collapse of Lehman Brothers.” In his book, Larry details his experience working as Vice President at Lehman Brothers in New York and provides a behind-the-scenes look on why one of the most prominent investment banks failed. The book is a risk manager’s guide to all the right and wrong moves, and explains why investors must stay ahead of policy moves coming out of Washington and Europe. Published in 2009 by Random House, Colossal Failure hit the New York Times Best Seller’s list in its first five days on the bookshelves, and is now considered one of the bestselling business books in the world. Colossal Failure is now translated into 12 different languages. Larry is a European & Washington policy risk analyzer. He is a frequent guest contributor on Bloomberg, CNBC, Forbes, MSN Money, Fox Business and the Huffington Post. He’s highly regarded political policy risk consultant to hedge funds, family offices, asset managers and high net worth investors. His 17 Lehman risk indicators help investors get in front of painful risk-off trades in the global markets. Notably is Larry’s involvement as special advisor to the Financial Crisis Inquiry Commission (FCIC), created by Congress in 2009 to investigate the causes, domestic and global, of the economic and financial crisis in the United States. Additionally, Mr. McDonald has participated in four major financial crisis documentaries: Sony Pictures Academy Award winning documentary the Inside Job, BBC‘s The Love of Money, CBC‘s House of Cards, and National Geographic’s Decade of the 2000’s (estimated release Summer 2015). Since publishing Colossal Failure, Larry has delivered over 100 keynote speeches in 17 different countries, speaking at Banks, Investment Firms, Conferences, Law Firms, Insurance Companies and Universities. | |
| Helen Sharkey Ethics, Accountability and Whistleblower Responsibilities Professional Speaker When Helen Sharkey was hired as an accountant in 1996 by Dynegy—an up-and-coming energy trading company in Houston—she had no idea the job would ultimately lead to 28 days in a maximum-security federal prison. But that’s exactly what happened. At the age of 28, Helen was the lowest-level employee on a $300 million structured finance transaction team called Project Alpha. Little did she know, Dynegy was following in the footsteps of Enron. Soon, the Securities and Exchange Commission launched an investigation of Project Alpha, followed by criminal charges brought by the Justice Department against three employees, including Helen. In August 2003, Helen pled guilty to one count of conspiracy to commit securities fraud. Today, Helen speaks about her experiences with brutal honesty and not a trace of self-pity. She talks about her excitement when she landed her “dream job” at Dynegy, only to be followed by dismay when she began to doubt the ethics of what they were doing and, ultimately, her complete loss of faith in the company. She details her gut-wrenching fear when she realized that the Justice Department was targeting her, her struggle with the decision to plead guilty, the shame of being branded a felon and her time behind bars. She talks about her mistakes frankly, yet also delivers a message of hope: even when things are at their darkest, never lose sight of the light at the end. Follow it and believe. | |
| David G. Tittsworth Counsel ROPES & GRAY, LLP David is a counsel in Ropes & Gray’s investment management practice in Washington, D.C. He has extensive experience with securities law and policy issues relating to the investment management industry. Prior to joining the firm, David was president and CEO of the Investment Adviser Association for 18 years. David’s past experience at the IAA, a not-for-profit organization that represents the interests of SEC-registered investment advisory firms before Congress, the SEC, the CFTC and other regulators, gives him a unique perspective on the issues faced by investment management firms. - See more at: https://www.ropesgray.com/biographies/t/david-tittsworth.aspx?AK=tittsworth#sthash.erukBFNH.dpuf | |
| John H. Walsh Partner Sutherland Asbill & Brennan LLP A 23-year veteran of the Securities and Exchange Commission (SEC), John Walsh joined Sutherland in October 2011. With his deep, insider’s experience and perspective of the SEC, John now represents broker-dealers, hedge funds, investment advisers and other securities firms in compliance and regulatory issues involving the agency. He counsels clients on the full spectrum of securities issues from development and compliance to cooperation in examinations and defense in enforcement proceedings. At the SEC, John played a key role in creating the Office of Compliance Inspections and Examinations (OCIE), which administers examinations of U.S. registered securities entities. He designed and implemented the SEC’s securities compliance examination practices, first as a senior advisor for compliance policy and then, most recently, as associate director-chief counsel. In 2009, he served as OCIE’s acting director and led a massive retraining of examination staff on antifraud techniques. Prior to his tenure at OCIE, John was special counsel to former SEC Chairman Arthur Levitt from 1993 to 1995. From 1990 to 1993, he worked in the SEC Division of Enforcement, serving first as senior counsel and then as chief of the branch of regional office assistance, where he regularly appeared before the Commission’s closed meetings to present and discuss regional office enforcement cases. He also advised the commissioners and staff on securities laws and agency policy. John began his career with the SEC in 1988 as an attorney in the Office of General Counsel. | |
| Walter Costenbader CCO, FINOP, Senior Examiner Regulatory Compliance, LLC Mr. Costenbader performs AML, branch, and mock FINRA and SEC examinations for broker dealers and registered investment advisors. He also provides FINOP services for multiple Regulatory Compliance broker dealers. He has over twenty years experience as CCO and COO of the broker/dealer and registered investment adviser subsidiaries of a large regional bank and a national insurance company. He also serves as a FINRA Arbitrator. | |
| Laura Crosby-Brown Director Regulatory Compliance, LLC Ms. Crosby-Brown specializes in broker-dealer registrations, compliance, and examinations and is a CCO and financial and operations principal. She has more than 25 years of compliance experience, having also worked at a large national securities firm where she reviewed representatives' advertising and sales literature, coordinated the firm's continuing education plan, and provided training. She also served as the manager of financial and tax reporting and FINOP for a life insurance-affiliated broker-dealer, performing federal and state financial, tax and regulatory filings; net capital computations; and separate account accounting. Series licenses: 7, 24, 27, 63 | |
| Philip Dawicki Director Regulatory Compliance, LLC With more than 25 years in the financial services industry, Mr. Dawicki manages services to clients in meeting their financial regulatory compliance requirements and is responsible for technical consulting, quality control and practice development. Previously, he spent 17 years at regional and international CPA firms, becoming a specialist in broker-dealer GAAP accounting and FINRA/SEC regulatory reporting systems. As an Audit Partner and Director, he was responsible for the development of the financial services practice area. He has audited and reviewed net capital and FOCUS reports for compliance with Rule 15c3-1 for broker-dealers in all sectors of the industry. He has also audited and consulted with hedge funds, commodity funds and investment advisory firms. | |
| Joseph DeMarco, CPA Partner and Founding Member DeMarco Sciaccotta Wilkens & Dunleavy LLP A partner and founding member of DeMarco Sciaccotta Wilkens & Dunleavy, he was formally associated with a large CPA firm. Joe has been in the public accounting industry since beginning his career in 1995. His areas of concentration include the financial and professional services as well as the manufacturing and distribution industries. He is also the co-chair of the Focused Audit Alliance which specializes in broker-dealers, hedge funds and registered investment advisors. He graduated from the University of Illinois in Champaign-Urbana and is an active member of the AICPA and Illinois CPA Society. | |
| William A. Despo Attorney at Law LeClairRyan Bill is a shareholder on LeClairRyan's Business Litigation team and Financial Services Litigation and Regulation team. He has more than 35 years of experience representing financial institutions, broker dealers and investment advisors. He also has a depth of experience handling capital formation through private and public offerings, mergers and acquisitions, government investigations and prosecutions, complex litigation, regulatory advice, internal investigations and arbitrations. Bill has made numerous appearances before the U.S. Securities Exchange Commission and U.S. Commodities Futures Exchange Commission. He has also represented clients in investigations by the U.S. Department of Justice and state civil and criminal agencies. Bill currently serves as Chair of the New Jersey State Bar Association Securities Litigation and Regulatory Enforcement Committee and is a member of the American Bar Association Securities Subcommittee for Self-Regulatory Operation. http://www.leclairryan.com/william-a-despo/ | |
| Brian Edelman CEO Financial Computer, Inc. Brian Edelman is an Independent Technology Advisor and the CEO of Financial Computer, Inc., a company that provides Cyber Security, Integrations and Support to the Financial Services Community. For almost 3 decades Brian and his firm have been delivering professional IT solutions to Financial Advisors throughout the United States. Financial Computer has partnered with the leading cyber security companies to design comprehensive solutions that exceed cyber security compliance requirements. To combat the high costs of cybersecurity Financial Computer has leveraged the efficiency of the cloud to deliver the next generation cyber security tools at reasonable prices. In addition, Financial Computer has developed an intelligent integration platform that expands the utilization of your existing applications, empowering firms to become more efficient and productive. | |
| Beverly Fetcko Director Regulatory Compliance, LLC Ms. Fetcko is a paralegal, Certified Trust and Financial Adviser (CTFA), and member of the National Society of Compliance Professionals, offering more than 30 years of securities industry experience. Her responsibilities at Regulatory Compliance as the Director of Broker-Dealer Services include consulting on various compliance issues; oversight of client relationships; conducting AML, branch office, and mock exams; as well as managing the day-to-day activities of the Broker-Dealer PartnerProgram. Prior to joining Regulatory Compliance, Ms. Fetcko was an operations manager with a major Midwest brokerage firm. | |
| Nicholas Giacoumakis President & Founder New England Investment & Retirement Group, Inc. Nick is the president and founder of New England Investment & Retirement Group, Inc. He established the fifteen-member firm in 1995, after spending seven years as a financial representative with PFS Investments (ticker: PRI). As an Investment Advisor at New England Investment & Retirement, Nick provides investment advisory, wealth management, and group plan services. Nick has been ranked among the top financial advisors in the country by several leading industry publications, such as Barron’s, Boston Magazine, Boston Business Journal, Financial Adviser and Registered Rep. magazines as well as ranked as one of America’s fastest-growing private companies by Inc. magazine in 2011 and 2013. Most recently, Barron’s named Nick among its Top 1,000 Advisors in the country and Top 25 in Massachusetts for the fourth time in the past five years. | |
| Eric Hess Founder and Managing Counsel Hess Legal Counsel, LLC Eric Hess has over fifteen years of experience acting as senior in-house counsel, general counsel or senior management for exchanges, broker dealers, and financial services technology providers. He has a proven track record of meeting business and legal goals, including creating legal, compliance and technology & operational risk management functions, designing compliant trading technology, advocating for regulatory change, closing transactions, managing regulatory inquiries & investigations and facilitating company growth, both organically and through strategic transactions. Specialties: Equities, options, futures and cleared swaps regulation; hedge funds, broker dealer and markets regulation; technology and operations risk management; contract negotiation; technology transactions; regulatory examinations, inquiries & investigations; dispute resolution; corporate governance, mergers & acquisitions; intellectual property; lobbying; and financing transactions. Mr. Hess holds Series 7 and 24 licenses and is admitted to practice in the States of New York and New Jersey. | |
| Lee Kell Chief, Bureau of Enforcement Florida Office of Financial Regulation Lee Kell brings a wealth of management and leadership experience to the position. Mr. Kell has been with the OFR since April 2012; most recently serving the Division in the capacity of Financial Administrator for the Tallahassee, Tampa, and Orlando offices. His background includes 5 years as General Manager with The Tallahassee Coca-Cola Bottling Company, followed by 25 years at Northwestern Mutual Financial Network in Tallahassee serving in management, training, compliance and Financial Representative capacities. He graduated in 1979 from the University of West Florida with a degree in Accounting. | |
| David H. Lui Principal Galliard Capital Management Mr. Lui was Chair of the industry’s trade group, the National Society of Compliance Professionals, and has been a Chief Compliance Officer for some of America’s largest investment advisers, including Charles Schwab Investment Management, Franklin Advisers (Franklin Templeton), U.S. Bancorp Asset Management, and Galliard Capital Management, an $85 Billion subsidiary of Wells Fargo. He is a graduate of Brown University with an A.B. with Honors in History and a J.D. from the University of California, Hastings College of the Law. He is admitted to practice in California and Minnesota. | |
| Michelle Mackey, CFE, CRMA, MBA Chief Compliance Officer MFA Asset Management With over 18 years of business, compliance and financial experience, Ms. Mackey plays an instrumental role in overseeing the Firm’s Compliance Program. Her ability to examine and evaluate complex regulations results in practical recommendations that positively impact the Firm’s business processes. In her role as Chief Compliance Officer for MFA Asset Management, Michelle is responsible for recommending, initiating and administering policies and procedures to help the Firm maintain and adhere to regulatory compliance standards and best practices. She has experience with all facets of compliance including the administration of policies and procedures, RIA annual testing, advertising and marketing reviews, and regulatory responsiveness. http://www.mfa-asset.com/team/michelle-mackey.aspx | |
| Jason Manar Supervisory Special Agent Federal Bureau of Investigation, Miami Office Jason Manar is a graduate of Murray State University in Murray Kentucky. Prior to joining the FBI, he served approximately six years with the Kentucky State Police as a Trooper and Detective. As the Supervisory Special Agent for Miami Cyber Crime, he manages all criminal cyber operations within the Southern District of Florida. Prior to his current role he served at Headquarters in the Major Cyber Crimes Unit combating cyber criminal threats targeting U.S. entities. Previously, he has served as the Safe Streets Gang/Violent Crime Task Force Coordinator for the FBI’s Springfield Division and worked high level public corruption and health care fraud cases in the Detroit Division. All these experiences have yielded an invaluable holistic cyber crime perspective. | |
| Craig Moreshead Director Regulatory Compliance, LLC Mr. Moreshead is the director of compliance services for Regulatory Compliance's investment adviser clients including registrations, policies and procedures, and examinations. As an attorney with in-depth knowledge of federal securities regulations, Mr. Moreshead specializes in regulatory issues related to hedge fund and private equity managers. Previously, he worked for a large financial services company, where he provided compliance counsel to the registered investment adviser and fund family, broker-dealer, and business executives regarding compliance with federal and state regulatory requirements. | |
| Richard Nummi Managing Director Nummi & Associates, P.A. Executive Consultant experienced in all aspects of the financial services industry. Former Senior Attorney with the United States Securities and Exchange Commission. Nationally recognized expert in securities (33 Act, 34 Act, and 40 Act), regulation and compliance. Featured speaker/educator at multiple industry (NRS/NSCP/NASD/SEC) trade conferences and presentations. Experienced executive with strong track record of helping registered representatives and broker-dealers succeed in a highly regulated industry. Extensive background in guiding securities firms through development and/or recovery from regulatory findings. | |
| John P. O'Shea Chairman and CEO Global Alliance Securities LLC John P. O’Shea is Global Alliance’s chairman and chief executive officer. Throughout his more-than 30-year career, he has served as the chief executive officer of Westminster Securities Corporation, in which capacity he pursued an international geographic presence. Mr. O’Shea currently serves as the non-executive director of two energy product companies, BlueRock Energy Holdings and AllGreen Energy Pte. Ltd. He has been featured in the media and has testified before Congress on varied matters, such as the import of changing U.S. regulations. Mr. O’Shea earned his B.A. and his M.A. in Economics from the University of Cincinnati, and he holds Series 7, 9, 10, 24, 55, 63, 79, and 99 securities licenses. Global Alliance’s team advises and guides U.S. issuers in the phases of their financing, and provides advice regarding financing structure, corporation structure, business plan, job creation analysis, and qualifying corporate clients seeking access to investment through the EB-5 program. As a FINRA-registered broker-dealer, Global Alliance adheres to industry rules and regulations when acting as placement agents to clients. Global Alliance serves U.S. companies in obtaining essential capital for the creation of qualified jobs in the United States through the performance of due diligence on the issuer, along with evaluation and assessment of offering materials including private placement memorandums, subscription agreements, and relevant offering materials, investor-related suitability requirements, and escrow agreements. Additionally, Global Alliance works with other professionals to ensure compliance with the JOBS Act and the EB-5 Immigrant Investor Program. | |
| Mike Pagani Senior Director of Product Marketing and Chief Evangelist Smarsh Mike Pagani is senior director of product marketing and chief evangelist at Smarsh, where he’s responsible for implementing marketing strategy, product positioning, sales and business development programs across the company. With more than 25 years’ experience working with new and emerging technologies, he’s helped drive multiple companies from start-up phase to market adoption, with multi-million dollar annual sales revenues. He’s also a skilled industry event speaker, and contributes regularly to trade publications and online media outlets. | |
| Jeffrey Pasquerella Regional Director and Vice President FINRA, South Region Jeffrey M. Pasquerella is Regional Director and Vice President overseeing FINRA’s South Region, which includes offices in Atlanta, Boca Raton, Dallas and New Orleans. Previous to serving as Regional Director, Jeff was the District Director of FINRA’s District 10 Office located in New York. He has been employed by FINRA since August of 1999. Prior to joining FINRA, Mr. Pasquerella served as an assistant district attorney in the Westchester County District Attorney’s Office for three years. He is a 1993 graduate of Villanova University, Villanova, Pennsylvania, and a 1996 graduate of Pace University School of Law, White Plains, New York. Mr. Pasquerella is a member of the New York and Connecticut State Bars. | |
| Lloyd R. Schwed Partner Schwed Kahle & Kress, PA Lloyd Schwed began practicing at Fowler White in Miami in 1985 in the areas of business and commercial litigation before being promoted to shareholder in six years. He has 27 years of experience handling business litigation and professional liability, including securities litigation and arbitration, insurance agent defense, construction litigation, life insurance and disability insurance claims defense, contracts and non-compete litigation, real estate-related litigation, attorney and accounting malpractice defense and appellate practice. | |
| 0 | Joseph J. Sheirer District Director FINRA - Woodbridge District Office Joseph J. Sheirer is the District Director of FINRA’s Woodbridge District Office. In his role as District Director, Joe oversees the Examination and Surveillance Staff responsible for monitoring and examining broker-dealers and registered representatives located in the States of New Jersey and New York (outside the 5 boroughs of New York City and Long Island.) Joe joined FINRA in 1999 and his most recent role prior to joining the District Office was as Director and Counsel of FINRA’s Membership Application Program Group. Mr. Sheirer has a J.D. from Brooklyn Law School and a bachelor’s degree from Drew University. |
| David M. Sobel, Esq. EVP / GC / CCO Abel/Noser Corp. David M. Sobel is Executive Vice President, General Counsel and Chief Compliance Officer of Abel/Noser Corp., a FINRA / NYSE member broker/dealer. He was previously a partner at The Goldstein Law Group, P.C. where he concentrated in the areas of broker-dealer compliance/regulation, securities litigation, including arbitration and mediation, and disciplinary/enforcement matters at the SEC, NYSE, AMEX and FINRA. He is admitted to practice before the Supreme Courts of New York and Connecticut, the U.S. District Courts for the Southern and Eastern Districts of New York and the Second Circuit Court of Appeals. He is a member of the NY County Lawyers Ass’n, the NY State Bar Ass’n and the American Bar Ass’n. | |
| Stephen Sussman CEO, President Regulatory Compliance, LLC Mr. Sussman founded Regulatory Compliance in 1989, providing broker-dealer and investment adviser compliance consulting services to hundreds of clients worldwide. He has particular expertise in broker-dealer accounting practices and is well versed in SEC-regulated accounting procedures. Prior to starting Regulatory Compliance, he performed exams of SEC-registered investment companies and was a senior examiner with FINRA (formerly NASD) in New York and Boston. | |
| Mary Toumpas Senior Compliance Consultant Regulatory Compliance, LLC Mary Toumpas joined Regulatory Compliance in November 2014 as Senior Broker Dealer Consultant. With over 30 years of extensive compliance experience, Ms. Toumpas now serves as Chief Compliance Officer (CCO) for several client firms as well as providing a broad array of sophisticated compliance consulting to our most complex engagements. | |
| Daniel Viola Partner, Regulatory Defense and Compliance Group Sadis Goldberg LLP Daniel G. Viola oversees the firm’s Compliance Group. He structures and organizes broker-dealers and investment advisers and regularly counsels investment professionals in connection with regulatory matters. Mr. Viola previously served as a senior compliance examiner for the Northeast Regional Office of the U.S. Securities & Exchange Commission (the “SEC”). During his tenure at the SEC, he worked on several compliance inspection projects involving compliance examinations of registered investment advisers to ensure compliance with the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934. Mr. Viola's examination experience includes reviewing financial statements, performance advertising, disclosure documents, and investment adviser and hedge fund issues arising under ERISA and blue-sky laws. | |
| 0 | Paul Voketaitis Associate Director, Division of Risk Oversight and Operational Regulation FINRA, Rockville, MD Paul Voketaitis is an Associate Director within the Division of Risk Oversight and Operational Regulation of FINRA in Rockville, MD. Mr. Voketaitis is currently responsible for the policy and procedural developments relating to financial and operational matters within the broker-dealer space. He has contributed to the development efforts affecting many of the regulatory review efforts of FINRA and, until recently, was responsible for developing process improvement mechanisms for FINRA in the brokerage inspection and Quality Assurance program areas. He began his career with the Federal Deposit Insurance Corporation as a Bank Examiner before coming to FINRA. He has spoken extensively on regulatory matters affecting the securities industry and written several Regulatory Notices and Compliance Alerts relating to issues of financial privacy and continuing education requirements within the securities industry. Mr. Voketaitis earned his undergraduate degree from the University of Maryland (College Park) and his Master’s degree from George Mason University in Virginia. He has also received his Certified Regulatory and Compliance Professional designation through the Wharton school. |
| Lori Weston, IACCP® Manager, IA Services Regulatory Compliance, LLC Lori Weston joined Regulatory Compliance, LLC in March of 2012 and currently serves as Manager, Investment Adviser Services. She handles the compliance consulting needs of the firm’s investment adviser clients, including registrations and examinations, SEC and state regulatory interpretations, and the provision of services through the firm’s PartnerProgram. In addition, she is also responsible for business development and serves as an investment adviser resource for conferences, webinars, newsletter articles and other firm-sponsored and third-party events and publications. She has over fifteen years’ experience in the financial services and securities industry working with investment advisers and broker-dealers. Prior to joining Regulatory Compliance, Ms. Weston was employed by Lincoln Financial Group. During her tenure with Lincoln, she held numerous positions, working in the areas of advisory services and compliance. As a manager of RIA compliance, she was responsible for all compliance-related aspects of four corporate registered investment advisers with combined assets under management of over $8.5 billion, and also provided compliance consulting and support to over 60 independent SEC and state-registered RIAs. Her principal responsibilities included enacting and enforcing the policies of the corporate RIA. Ms. Weston graduated from the University of Maryland with a B.S. in Accounting. She holds Series 6, 7, 24 and 66, as well as Investment Adviser Certified Compliance Professional® designation. | |
| Rick Wilkens, CPA, CVA Partner DeMarco Sciaccotta Wilkens & Dunleavy, LLP A partner of DeMarco Sciaccotta Wilkens & Dunleavy. Rick was the CFO of a family owned $400 million importer/distributor. Prior to being a CFO, Rick was a partner in a large regional accounting firm. He focuses on privately held businesses and specializes in various industries including distribution and professional services. Rick is the co-chair of the Focused Audit Alliance which specializes in broker-dealer, hedge funds and registered investment advisors. He is also a specialist in casino internal control compliance and certified in business valuations. Rick graduated from DePaul University as a Strobel Scholar and is an active member of the AICPA, Illinois CPA Society and the National Association of Certified Valuation Analysts. | |
