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| Todd Buchholz Trend Forecaster / Investor / Author A former director of economic policy at the White House, a managing director of the $15 billion Tiger hedge fund, and an award-winning economics teacher at Harvard, Buchholz targets his entertaining remarks to the cutting edge of economics, finance, and business strategy. He has advised President Bush, is a frequent commentator on ABC News, PBS, and CBS, and recently hosted his own special on CNBC. Buchholz has debated such luminaries as Lester Thurow and Nobel Laureate Joseph Stiglitz. He is Co-Founder and Managing Director of Two Oceans Management, LLC and was a fellow at Cambridge University in 2009. Buchholz has authored numerous books that have been translated into a dozen languages and are used in universities worldwide, the likes of which include Harvard, Duke, and Princeton. Market Shock: 9 Economic and Social Upheavals that Will Shake Our Financial Future, was released to rave reviews and dubbed “outstanding” by The Wall Street Journal. Buchholz is also author of the best-selling New Ideas from Dead Economists, New Ideas from Dead CEOs, From Here to Economy, and Lasting Lessons from the Corner Office, which were lavishly praised by The New York Times and Financial Times. His newest book Rush: Why You Need and Love the Rat Race has been named by Publishers Weekly as a “top ten” book for 2011, and has been praised by the Financial Times, Toronto Globe & Mail, L.A. Times, and the BBC, among many others. Buchholz is a contributing editor at Worth magazine, where he writes the “Global Markets” column, and he has penned articles for The New York Times, The Wall Street Journal, Forbes, and Reader’s Digest. He delivered a lecture at the White House entitled Clarity, Honesty, and Modesty in Economics, and has been a keynote speaker before such groups as Microsoft, IBM, Goldman Sachs, and the US Chamber of Commerce. | |
| 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. | |
| 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 year. 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. | |
| Walter Costenbader Compliance Consultant, FINOP 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. 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 advisery firms. | |
| Joseph DeMarco, CPA Partner DeMarco Sciaccotta Wilkens and Dunleavy 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 University of Illinois in Champaign-Urbana and is an active member of the AICPA and Illinois CPA Society. | |
| James Douglas Director of Alliances and Industry Relations SMARSH Jimmy Douglas serves as Director of Alliances and Industry Relations at Smarsh, where he drives growth and innovation across the company’s rapidly expanding partner ecosystem. Douglas is responsible for building relationships with industry partners, to drive growth in the adoption of Smarsh solutions. He regularly works with industry regulators, such as the SEC and FINRA, to keep clients and partners informed of the latest developments and requirements related to electronic communications compliance. Previously, Douglas directed the company’s customer experience initiatives, ensuring a consistent level of excellence across all Smarsh services and solutions. Prior to that, Douglas managed the Smarsh solutions specialist team, where he successfully navigated the evolving regulatory environment to help clients address their technical challenges and requirements. The Morgan Hill, Calif. native is a graduate of Portland State University. | |
| 0 | Jeri D Dresner Senior Special Counsel US Securities and Exchange Commission, Miami Regional Office |
| Beverly Fetcko Director Regulatory Compliance, LLC Ms. Fetcko is a paralegal, Certified Trust and Financial Advisor (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 Manager 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. | |
| Lance S. Friedler Corporate and Financial Services Partner Sadis Goldberg LLP Lance S. Friedler practices in the firm’s Financial Services and Corporate Groups. Mr. Friedler regularly counsels clients on structuring and forming U.S. and non-U.S. private investment funds, including the investment manager and general partner entities to such funds. He also counsels investment managers on registration and ongoing compliance issues with the SEC, including the preparation of all written compliance policies and procedures. His investment management experience is broad in scope and includes the preparation and negotiation of various types of agreements, seed capital arrangements and joint venture arrangements. Prior to joining Sadis & Goldberg, Mr. Friedler was a partner at McCarter & English, where he represented numerous private investment funds and counseled investment advisers on a variety of issues. Mr. Friedler received his JD cum laude from New York Law School in 1997 and his BS in Economics from Oneonta State College in 1992. Mr. Friedler was an Articles Editor on the New York Law School Journal of Human Rights. | |
| 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, navigating challenging issues, managing regulatory inquiries & investigations and facilitating company growth, both organically and through strategic transactions. Specialties: Equities, options, futures and cleared swaps regulation; hedge fund, 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. | |
| Evan Ignall Director Regulatory Compliance, LLC Evan Ignall joined Regulatory Compliance, LLC in March of 2014 as a Director of Compliance to manage and grow the firm’s New York City office. Mr. Ignall has over 25 years of financial services industry experience. Prior to joining Regulatory Compliance, Mr. Ignall led S.D. Daniels and Co.’s compliance group from 2006 - 2014 and became the founding partner of their Regulatory Services practice. At S.D. Daniels he managed the firm’s regulatory support services and served as the Chief Compliance Officer for prominent broker-dealer clients within the practice. Previously he served as a Senior Vice President and the Head of Compliance Training for Citigroup’s Corporate and Investment Bank, as Director of Compliance at Buchanan Associates, as the Continuing Education Manager for Securities Training Corporation and as a consultant to the New York Institute of Finance. Mr. Ignall received a BA from Rutgers College and an MS from Steven’s Institute of Technology. He is a FINRA Arbitrator and a member of the SIFMA Compliance and Legal Society and the National Society of Compliance Professionals. Mr. Ignall is a frequent speaker at industry conferences and events. | |
| Rebecca Kaplan, Esq. Fiduciary Compliance Consultant Angell Pension Group, Inc. Rebecca Kaplan Attorney Rebecca R. Kaplan graduated from Boston College Law School after receiving her undergraduate degree from Brandeis University and a master’s degree from Tufts University. Prior to joining The ANGELL Pension Group, Inc. Rebecca was a Benefits Advisor with the U.S. Department of Labor, Employee Benefits Security Administration. As a Benefits Advisor Rebecca assisted plan sponsors and participants with ERISA compliance and informal mediation of employee benefits issues. Currently Rebecca is a Fiduciary Compliance Consultant at ANGELL Pension Group, and provides fiduciary education to both plan sponsors and investment advisors. Rebecca is a frequent speaker on ERISA fiduciary topics. | |
| Lee Kell Chief, Bureau of Enforcement Florida Office of Financial Regulation, Division of Securities 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. | |
| Bob E. Lehman Partner Lehman & Eilen LLP Mr. Lehman is a founding partner of Lehman & Eilen LLP which will be celebrating its 20th year on June 1st. He is in charge of Lehman & Eilen’s broker-dealer, investment adviser, investment partnership, corporate and commercial transaction practice areas. In his 30th year as a practicing securities and corporate attorney, Mr. Lehman currently represents more than 100 registered broker-dealers, the vast majority of which are members of FINRA, more than 25 investment advisers and numerous investment partnerships. His clients are located throughout the United States with several organized as affiliates of foreign-based securities firms operating in such diverse areas of the world as Australia, Bahrain, Brazil, China, France, Germany, Hong Kong, Iceland, Ireland, Malaysia, Norway, Russia, South Africa and the United Kingdom. Mr. Lehman is actively involved in the formation and organization of broker-dealers, investment advisers and hedge funds. Over the course of his career, he has organized more than 350 of these entities, as well as many other companies engaged in a wide variety of businesses. Bob has successfully represented his clients in various applications, examinations, investigations and proceedings before the Securities and Exchange Commission, FINRA (and its predecessors, the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc.), the BATS Exchange, Inc., EDGX Exchange Inc., the International Stock Exchange, NASDAQ OMX PHLX, NASDAQ STOCK MARKET, LLC, NYSE ARCA, Inc., etc. and all of the state securities regulatory authorities. Over the course of his career, Mr. Lehman has successfully represented his clients in all kinds of regulatory examinations, investigations and disciplinary proceedings covering the gamut of issues, including, without limitation, registration, net capital, customer protection, financial reporting, trade reporting, supervisory, compliance, Form BD, Form U-4 and Form U-5 matters, to name just a few. Mr. Lehman received his Juris Doctor in 1984 from Albany Law School and his Bachelor of Arts degree in 1981 from the State University of New York at Binghamton. | |
| Richard D. Marshall Partner ROPES & GRAY, LLP Rick focuses his practice on the representation of financial institutions and their employees who are the subject of investigations by the SEC, U.S. Attorneys, FINRA, and state securities regulators. Rick also counsels broker-dealers, investment companies and investment advisers on regulatory issues, particularly relating to SEC and FINRA regulation. Rick also frequently counsels clients on compliance and risk management issues and handling of SEC inspections. Prior to entering private practice, Rick worked for several years for the Securities and Exchange Commission as both a branch chief in the Division of Enforcement in Washington DC and as Senior Associate Regional Administrator in the SEC’s New York Office, where he supervised a staff of 70 that conducted inspections of investment companies and investment advisers and instituted enforcement actions against those entities. | |
| 0 | Ken Merlo Chief Compliance Officer Pex Global, Proseed Securities Ken Merlo, currently CCO and Securities Principal with PEX Global, Inc., an intermediary between buyers and sellers of private equity Limited Partnership interests; and CCO and Securities Principal with Proseed Securities, LLC. Proseed offers a fully integrated internet-based platform enabling financial firms and broker-dealers to collaborate, syndicate and execute private securities transactions. Previously, CCO and Securities Principal for Town Hall Capital, LLC and predecessor firm, Juniper Capital Group, LLC each an independent placement agent for alternative investment fund managers. Ken has extensive legal compliance, fundraising and marketing expertise in securing capital for hedge funds and private equity funds. Ken serves as in-house general counsel and compliance officer. Ken holds degrees from Vassar College (AB), University of Florence and Brooklyn Law School, JD and is a member of the New York and New Jersey Bar Associations and holds FINRA licenses Series 7, 24, 63, 79 and 99. |
| Craig Moreshead Director Regulatory Compliance, LLC Mr. Moreshead manages compliance services for 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. | |
| 0 | 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. |
| 0 | Roger L. Shaffer Managing Director INTL FCStone Securities Inc. - Correspondent Clearing Mr. Shaffer has over 25 years’ experience in the brokerage industry, including roles in senior management, legal, compliance, finance, research and business development. Mr. Shaffer is currently a Managing Member of the Correspondent Clearing division at INTLFCStone Securities Inc. (INTL). INTL is the broker-dealer subsidiary of INTL FCStone Inc., a Fortune 500 financial services company providing execution and advisory services in commodities, capital markets, currencies and asset management to over 20,000 institutional clients globally. INTL’s Correspondent Clearing division provides securities execution, clearing and custody services for US broker-dealers and foreign financial institutions via tri-party clearing (a/k/a “piggy-back” clearing) arrangements with Pershing. Prior to joining INTL, Mr. Shaffer was an owner and director of First American Capital and Trading Corp. (FACTC), a US broker-dealer providing tri-party clearing arrangements to US and foreign broker-dealers. Prior to FACTC, Mr. Shaffer was a Managing Director and Chief Compliance Officer at Variant Research Corp. (Variant), a broker-dealer producing proprietary research for institutional customers. Before his role at Variant, Mr. Shaffer was Vice President of Business Development and General Counsel for TradeStation Securities (TradeStation). Prior to TradeStation, Mr. Shaffer was Vice President and General Counsel of OnlineTrading, a publicly traded broker-dealer offering one of the first direct execution platforms. Mr. Shaffer was instrumental in guiding OnlineTrading through its merger with Omega Research (a publicly traded software development company) which merger resulted in the formation of TradeStation. Prior to joining OnlineTrading, Mr. Shaffer was partner in a law firm focusing on securities and corporate matters. Mr. Shaffer began his professional career at Securities Consultants, a regulatory consulting firm (later purchased by Bisys Group, Inc. and then acquired by Citi Group). Education and Professional Licenses Mr. Shaffer received his Juris Doctorate cum laude from the University of Miami School of Law. Mr. Shaffer is a licensed attorney and holds the following securities licenses: Series 7, Series 24, Series 27, Series 55, Series 63, Series 79, Series 87 and Series 99. |
| 0 | Joseph J Sheirer Director and Counsel, Membershp Application Program FINRA |
| Paul Smith VP Investment Adviser Division North American Professional Liability Insurance Agency, LLC Paul began a concentrated focus on the retirement plan market while at PaineWebber's Boston office in the early 90's, working with businesses throughout New England as a Registered Representative and Series 65 licensed Registered Investment Advisor. He holds the AIF designation, in concert with having earned the ARPC (Accredited Retirement Plan Consultant) designation. Paul is a graduate of The University of Massachusetts at Amherst. Paul's long tenure at Transamerica began at Transamerica Asset Management in 1994, as a consultant throughout the New England area, supporting the Investment Advisory community, followed by a VP role in the Business Development Group at Transamerica Retirement Services. Paul's expertise in qualified plan design and current Fiduciary procedures make him a significant resource to the NAPLIA team. | |
| 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. | |
| Tracey Straub Managing Director Compliance11, Inc. of The Charles Schwab Corporation Tracey Straub is a Managing Director in Compliance Solutions responsible for leading Client Onboarding and Service teams for Compliance11, Client Services support for Designated Brokerage Services, and the overall event strategy for Compliance Solutions. Tracey has 20+ years experience in the financial services industry working for several large brokerage firms and RIAs. His past experiences include roles in Compliance, Risk Management, Branch Examinations, Technology as well as professional development, marketing, and strategy. Tracey earned a Bachelor of Science in Business Administration from the University of Nebraska. He has held several Securities Registrations including the Series 8, 24, and 53. Tracey works out of Compliance Solutions’ New York City office. | |
| Lisa Sussman Compliance Consultant Regulatory Compliance, LLC Ms. Sussman specializes in FINRA Change of Membership Applications (CMA) pursuant to NASD Rule 1017, assisting clients with the many details involved in this complex process, including changes to ownership structure and business lines. She also performs on-site client services such as mock examinations, AML examinations, new office set-ups and branch exams. Ms. Sussman serves as company treasurer and human resources coordinator and works closely with the management team to ensure the company operates efficiently. | |
| 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. | |
| Gary Sutherland Chief Executive Officer North American Professional Liability Insurance Agency, LLC Gary Sutherland has over 20 years of insurance experience and holds the prestigious designation of Certified Insurance Counselor (CIC), an honor attained by only 2% of all insurance brokers. Gary is the founder of NAPLIA and he oversees the operation and direction of all offices with a generosity and attention to detail that is unmatched. His diverse experience is invaluable to the service he provides to professionals. He has owned his own property management company, been a licensed property assessor, and held the position of National Sales Manager overseeing three national professional liability programs targeted to accountants, attorneys, and real estate professionals. | |
| Daniel G. 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. | |
| Todd Walters CEO & Managing Principal Spearhead Capital, LLC Mr. Walters is the CEO and Managing Principal of Spearhead Capital, LLC. Todd has over 16 years experience in the hedge fund industry working in Asia, Europe and the United States. He has spent much of his career focused on sourcing alternative investments for institutional and sophisticated investors globally as well as providing capital services for investment managers. In 2008, Todd founded New Vernon Financial LLC, a predecessor to the acquisition of Spearhead Capital. Prior to New Vernon, Todd was a Managing Director at Merrill Lynch within the Hedge Fund Development and Management Group (HFDMG) servicing the alternative investment needs of both private and institutional clients. Before joining Merrill Lynch, Todd was a Managing Director at Credit Suisse, where he held several roles globally, including the Head of US Hedge Fund Coverage for Prime Services based in New York and Head of Europe and Asia Hedge Fund Coverage for Prime Services based in London. Before joining Credit Suisse, Todd established and co-managed Arden Asset Management’s London office. From 2000-2002 Todd was with Morgan Stanley Prime Brokerage in Hong Kong and London focusing on Sales & Marketing as well as Capital Introductions. Todd started his career in 1996 with Wurfbain Management in Hong Kong managing Asian Capital Holdings, a fund of hedge fund solely dedicated to Asian market trading strategies. Todd holds a BBA in Finance, Investments and Banking from the University of Wisconsin-Madison. | |
| Lori Weston, IACCP® Senior Investment Adviser Consultant Regulatory Compliance, LLC Ms. Weston has over fifteen years of experience in the securities industry. In her role as Senior Investment Adviser Consultant, sheis responsible for providing overall investment adviser compliance consulting to state and SEC registered firms, managing day-to-day requirements and requests from the firm's RIA Partners. Prior to joining Regulatory Compliance, Ms. Weston was Senior Manager of RIA Compliance for a large financial firm where she was responsible for compliance-related matters of the firm's dual registrant investment advisers and retail broker-dealers as well as for the support of the independent investment advisory firms run by the firm's registered representatives. | |
| Rick Wilkens 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. | |
