Speaker Biographies Financial Industry Regulatory Authority, Inc. All Rights Reserved. 1

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1 Speaker Biographies Elizabeth Baird is Partner at Bingham McCutchen LLP and concentrates her practice on securities enforcement defense, internal investigations and regulatory counseling. Ms. Baird routinely represents broker-dealers, public companies, investment advisers and individuals in connection with investigations before the SEC, FINRA and other self-regulatory organizations and government agencies. Having traded municipal bonds on Wall Street for nearly a decade, she has experience with the daily activities and needs of active participants in the securities markets. Ms. Baird has been recognized by Chambers USA as a leading securities regulation practitioner. She has her bachelor s degree from Brown University and her law degree from Georgetown University Law Center. She is admitted to practice in the District of Columbia. Belinda Blaine is Executive Director in the Legal and Compliance Division of Morgan Stanley, where she oversees the Americas Institutional Policies & Procedures, Regulatory Counsel, Registration and Employee Investing & Activities Groups, as well as Canada Compliance. Before joining Morgan Stanley s London office in 2002, Ms. Blaine held several positions at the U.S. Securities and Exchange Commission, including Counselor to Chairman Levitt and an associate director in the Division of Trading and Markets. As an associate director, she oversaw the office responsible for developing regulations governing the U.S. National Market System and served on the Steering Committee of the President s Working Group on Financial Markets. Ms. Blaine graduated with a bachelor s degree, Phi Beta Kappa, from Pomona College and a law degree from UCLA Law School. She is a member of the California bar and previously served as an adjunct professor at Georgetown University School of Law s LLM program. Nicholas T. Chapekis has been employed as an attorney in the securities industry for 25 years and is currently Senior Counsel for Wells Fargo & Company, in St. Louis, Missouri, covering equity, fixed income and other regulatory investigative matters directed to the various Wells Fargo broker-dealer affiliates. Prior to working at Wells Fargo, Mr. Chapekis filled a similar role at A.G. Edwards & Sons, and was a special counsel in the SEC Division of Market Regulation and Office of Compliance Inspections and Examinations working in the areas of SRO market operations and surveillance inspections. Robert Colby joined FINRA in June 2012 as Chief Legal Officer. In this capacity, he oversees FINRA s corporate and regulatory General Counsel functions, as well as FINRA s Regulatory Policy group and the Office of Emerging Regulatory Issues. Previously, Mr. Colby was a partner in the Washington, DC office of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters involving securities and derivatives for financial institutions, markets and clearing organizations. Before joining Davis Polk in 2009, Mr. Colby served for 17 years as a deputy director of the Securities and Exchange Commission s Division of Trading and Markets. In that capacity, he was responsible for the regulation of broker-dealers, securities markets and clearing organizations. Previously, he was chief counsel of the division and chief of the division s Branch of Market Structure for 11 years. Mr. Colby received his undergraduate degree from Bowdoin College and earned his law degree from Harvard Law School. John J. Cross III is the Director of the new Office of Municipal Securities at the U.S. Securities and Exchange Commission (SEC). Mr. Cross joined the SEC in September The Dodd-Frank Act called 2013 Financial Industry Regulatory Authority, Inc. All Rights Reserved. 1

2 for the creation of this new office as a stand-alone office that reports directly to the SEC Chairman, and that administers SEC rules on municipal advisors, issuers, broker-dealer practices and investors in the municipal securities market. The SEC Office of Municipal Securities also oversees rulemaking by the Municipal Securities Rulemaking Board, an independent self-regulatory organization. Mr. Cross has a broad range of experience with municipal finance transactions in nearly every state, including experience with some of the largest and most complex municipal financings ever undertaken. Previously, from 2006 to 2012, Mr. Cross served as an associate tax legislative counsel in the Office of Tax Policy at the U.S. Treasury Department, where he had significant responsibility for legislative and regulatory tax matters affecting municipal bonds. Mr. Cross led the Treasury Department s implementation of the municipal bond provisions of the 2009 Recovery Act, and he played a significant role in the agency s efforts to address municipal bond market challenges in the 2008 financial crisis. From 1994 to 2006, Mr. Cross was a partner in the Washington, DC office of Hawkins Delafield & Wood LLP, a national municipal finance specialty law firm. From , Mr. Cross was a counsel to the assistant chief counsel in the Financial Institutions and Products group at the IRS, where he was one of the principal authors of comprehensive regulations on the arbitrage investment restrictions on tax-exempt bonds. From 1981 to 1990, Mr. Cross was in private practice in Atlanta, Georgia. Mr. Cross has a bachelor s degree from Brown University (1978), a law degree from Vanderbilt University Law School (1981), where he was a member of the Vanderbilt Law Review, and an L.L.M. in Taxation from Georgetown University Law Center (1988). Mr. Cross has been active in professional organizations, including the American Bar Association and the National Association of Bond Lawyers, where he served as a member of the Board of Directors from 2001 to He also is a member of the editorial board of the Municipal Finance Journal. Rosemarie Fanelli is Managing Surveillance Director in FINRA Member Regulation, Department of Risk Oversight and Operational Regulation. In this capacity, she oversees the ongoing surveillance of approximately 160 of the most complex member firms for financial and operational compliance and areas of broker-dealer risk management and supervision. She has spent the last 25 years at NYSE Regulation and FINRA in various positions within Member Regulation. Cynthia Friedlander is the Director of Fixed Income Regulation within FINRA Member Regulation. Ms. Friedlander is responsible for directing FINRA s policies and national programs related to fixed income securities, including related regulatory matters in FINRA District Offices. Specifically, she is responsible for the design, development and delivery of fixed income policy guidance to staff throughout FINRA, as well as to member firms, and is one of FINRA s primary representatives in fixed income regulatory matters with the Municipal Securities Rulemaking Board (MSRB) and the Securities and Exchange Commission (SEC). Ms. Friedlander represents FINRA at government agency, SRO and industry and advisory meetings and is a staff liaison to FINRA s Fixed Income Committee. She holds a bachelor s degree from the University of Virginia and an M.B.A. from George Mason University. Patrick Geraghty is Vice President, Fixed Income, Offerings and Customer Issues Group, in FINRA s Market Regulation Department. In his current capacity, Mr. Geraghty oversees the fixed income groups, which conduct markup reviews and data-integrity surveillance for corporate, agency, asset-backed and municipal securities. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. Previously, Mr. Geraghty managed the trading practices and customer issues sections, which conduct surveillance for best execution, limit order protection and ITS/CAES trade-throughs, along with providing secondary offering surveillance under Regulation M. Upon joining NASD in 1995, he worked in the real-time surveillance area, handling backing-away complaints, trade-reporting questions and locked/crossed market issues. Mr. Geraghty also served as an advisor to the NASD Series 55 Committee during the development of the question bank for the exam. He has a bachelor s degree in economics from Duke University. Gary Goldsholle is General Counsel of the Municipal Securities Rulemaking Board (MSRB), where he oversees all legal activities of the MSRB, including market regulation, professional qualifications, enforcement support and corporate governance. Prior to joining the MSRB, Mr. Goldsholle was a vice president and associate general counsel for FINRA, where he was responsible for regulatory policy and 2013 Financial Industry Regulatory Authority, Inc. All Rights Reserved. 2

3 rule development. He also worked in the Office of the Chief Counsel, Division of Trading and Markets at the Commodity Futures Trading Commission (CFTC). Mr. Goldsholle began his legal career as an associate at Steptoe & Johnson. Mr. Goldsholle received a bachelor s degree from Duke University, with a dual major in computer science and economics, and a law degree from the University of Chicago Law School. He also received a general course certificate from the London School of Economics. Tina Salehi Gubb is Chief Counsel in FINRA s Department of Market Regulation. She is responsible for supervising a team of attorneys who enforce cases relating to market integrity and customer protection issues. With regard to fixed income products, Ms. Gubb has brought enforcement actions on FINRA s behalf involving systemic best-execution violations, excessive markups/markdowns, customer suitability issues, transaction reporting and related supervisory deficiencies. Ms. Gubb has been with FINRA since She is a graduate of James Madison University and the University of Richmond, School of Law. Peg Henry is Senior Vice President and Assistant General Counsel of Jefferies & Company, Inc. in New York, New York. She is responsible for all legal matters concerning Jefferies Municipal Securities Group. Prior to joining Jefferies, she was General Counsel for Market Regulation of the Municipal Securities Rulemaking Board (MSRB), where she was responsible for rulemaking, regulatory policy, enforcement support and professional qualifications. Ms. Henry has worked in the municipal bond industry since 1981 in private practice, federal and local government, and investment banking. Ms. Henry joined the MSRB from UBS Securities LLC in New York, where she was a director and senior attorney representing the firm s municipal securities group. Prior to working at UBS, she was a partner at Winston & Strawn, where she was tax counsel and underwriter s counsel. Before that, she worked for the Securities and Exchange Commission s Office of Municipal Securities and was Tax Counsel to New York City s Office of Management and Budget. Ms. Henry received a bachelor's degree from Georgetown University and law degree from George Washington University. Samuel L. Israel is Associate Vice President and Chief Counsel in FINRA s Enforcement Department. Mr. Israel joined FINRA (NASD) in 2000 after 12 years as a trial attorney in private practice. He has been a chief counsel since Mr. Israel received his bachelor s degree from the University of Maryland and his law degree from the Georgetown University Law Center. Steven Joachim is the Executive Vice President of Transparency Services at FINRA. His responsibilities include overseeing the operations of TRACE, FINRA s corporate bond, agency debenture and assetbacked security reporting facility; setting FINRA s fixed income business strategy; operating the Alternative Display Facility, FINRA s listed equity quote and trade reporting vehicle; creating, implementing and managing the Trade Reporting Facilities, FINRA s joint ventures with Exchanges for printing listed equity trades; operating the Over-the-Counter Equity transparency facilities, including OTC Bulletin Board; and overseeing FINRA s international activities. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. Prior to his arrival at NASD, Mr. Joachim was senior vice president, chief strategy officer and general manager for Plural a custom interactive software development and strategy firm now owned by Dell Professional Services from 1997 to In 1983, he began a nearly 15-year stint with Merrill Lynch. During his career at Merrill Lynch, he served as head of institutional marketing, first vice president, business architect for capital markets and Chief Technology Officer for Global Equity Markets, director, Floor Brokerage Services and business manager, Global Equity Trading. Throughout his career at Merrill, he managed operations in Asia, Europe and the U.S. From 1981 to 1983, Mr. Joachim worked for Banker Trust Company as vice president, area consultant for Lending and Money Transfer Operations. He also served as a managing consultant with Cresap McCormick and Paget, Inc. Mr. Joachim has served as a member of the Philadelphia Stock Exchange Board of Governors, Board of Directors for Merrill Lynch Specialists, Inc. and Board of Directors for Wilco, Inc. He has also been a member of the NASDAQ Industry Advisory Committee and the American Stock Exchange Upstairs Member Advisory Committee. Mr. Joachim has a master s degree in political science from Duquesne University in Pittsburgh, PA, and a master s degree with distinction in public management and a bachelor s degree in mathematics from Carnegie Mellon University in Pittsburgh, PA Financial Industry Regulatory Authority, Inc. All Rights Reserved. 3

4 James Stephen (Jim) Jones is one of the original founders of Crews & Associates, Inc., the Arkansasbased broker-dealer specializing in fixed income securities. Mr. Jones currently serves as Crews President, Chief Compliance Officer and member of the Board of Directors. During his tenure at Crews, he has headed the general market underwriting department and currently participates in all aspects of the company, which includes sales, trading, public finance, compliance/legal and management. Mr. Jones has been active on various NASD/FINRA committees, serving as chairperson of the District 5 Business Conduct Committee and National Advisory Council in He currently contributes to the FINRA Fixed Income and Membership Committees, and recently completed service on the Small Firm Advisory Board. He also serves as an industry arbitrator. Mr. Jones was awarded a bachelor s degree in communications from the University of Arkansas (Fayetteville) in 1976 and a master s degree in communications from the University of Oklahoma in Mr. Jones is currently Chairman of the Baptist Health Board of Trustees, the largest healthcare provider and third-largest private employer in the state of Arkansas. Elliot Levine is Associate Vice President, Chief Counsel and Senior Advisor, Transparency Services at FINRA. In his role as Chief Counsel, he provides legal guidance on various aspects of debt and equity market structure and regulation in connection with FINRA s operation of TRACE, ADF and the OTCBB. In addition, Mr. Levine has advised several foreign regulators regarding equity and bond market structure and regulation. Before joining FINRA, Mr. Levine held senior, in-house counsel positions including as assistant general counsel at CIBC World Markets and as equity trading and capital markets counsel at Bear Stearns & Co. In his capacity as in-house counsel, he participated extensively on various FINRA, SIA and BMA committees, including SIA s Capital Markets Committee and as Chair of the BMA s Corporate Bond Legal Advisory Committee. Mr. Levine has extensive regulatory experience, as he has held staff attorney positions in the Division of Market Regulation at the Securities and Exchange Commission and in the Division of Trading and Markets at the Commodity Futures Trading Commission. Mr. Levine attended Trinity College in Hartford, where he received a bachelor s degree in history, and American University, Washington College of Law, where he received his law degree. James McKinney has 42 years of experience in the development and marketing of fixed-income securities at William Blair & Company, where he has been since He is a past member of the firm s executive committee, credit committee and former chairman of the audit committee. Mr. McKinney supervised the firm s Municipal and Taxable Fixed Income Sales and Trading operation and the Debt Capital Markets Department for 28 years. He earned his bachelor s degree from Spring Hill College and an M.B.A. from Loyola University. Mr. McKinney is a life trustee of St. Ignatius College Prep, the Chairman of the Board of Trustees of Spring Hill College, a member of the Advisory and Development Board of the St. Vincent DePaul Center, a past member and Chairman of the Finance Committee, Board of Trustees for LaRabida Children s Hospital, a member of the Executive Committee of the Bond Dealer s Association and a member of the Municipal Executive Committee of the Securities Industry Financial Market Association. N. Ola Persson is Vice President, TRACE and Fixed Income Strategy with FINRA Transparency Services. In this role, Mr. Persson manages the TRACE program and oversaw the expansion of TRACE to include securitized products. Mr. Persson joined FINRA in Prior to joining FINRA, Mr. Persson worked for 10 years at Thomson Reuters, where he held a number of positions in the Fixed Income Division. Samuel A. Ramirez, Jr. joined Ramirez & Co. (Ramirez) in July 1992 as a managing director after several years in the financial industry, where he specialized in fixed income. Since joining the firm, Mr. Ramirez has spearheaded the growth of many divisions of the firm, playing a key role in the overall marketing efforts of the products and services at Ramirez & Co. For the past 21 years, he has also overseen portfolio investments in fixed income and equity strategies for the firm s individual and institutional clients. He has experience managing a wide range of asset classes, including municipal bonds, corporate bonds, government bonds, agency mortgages, TIPs and equities. Under his guidance, Ramirez has developed an impressive track record in several fixed income and equity strategies. Mr. Ramirez currently heads the Wealth Management Group and is President and CEO of Ramirez Asset 2013 Financial Industry Regulatory Authority, Inc. All Rights Reserved. 4

5 Management. He earned a bachelor s degree in economics from the University of Vermont and holds his FINRA Series 7, 24, 65 and 63 licenses. Mr. Ramirez is actively involved in business and civic organizations. He is involved with the Municipal Bond Club and Municipal Forum, both of New York. He is a committee member of the Museum of the City of New York and an active member of the Catholic Big Brother and Sisters organization. Philip Rothman is Executive Director and the Head of U.S. Fixed Income Compliance coverage for Morgan Stanley & Co. LLC. He attended Cornell University and Brooklyn Law School. After graduating law school in 1995, he worked in private practice for four years. In 1999, he joined the New York Regional office of NASD Enforcement, where he became a regional counsel. Mr. Rothman pursued numerous and varied matters involving violations of SEC and NASD rules, including fraud, unauthorized trading and suitability cases, among others. In 2004, he joined Morgan Stanley as an attorney in the U.S. Litigation Group, where he represented the firm in regulatory matters brought by the various regulators and selfregulatory organizations that focused on the firm s institutional and retail securities business. In 2006, Mr. Rothman joined Morgan Stanley s Institutional Compliance Department, where he managed a group that investigated and responded to regulatory inquiries and examinations, including requests involving various fixed income issues, such as TRACE reporting, fair pricing, mark ups and MSRB rules. In 2010, Mr. Rothman became the head of the U.S. Fixed Income Compliance coverage group. In that capacity, he is responsible for compliance coverage for credit products, interest rate products, securitized products, and foreign exchange and emerging markets. Philip Shaikun is Associate Vice President and Associate General Counsel in FINRA s Office of General Counsel, where he is responsible for developing and interpreting FINRA rules and providing legal and policy advice to FINRA management and staff. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. Mr. Shaikun s responsibilities involve a variety of regulatory areas, including research analyst conflicts, communications with the public, the JOBS Act, supervision, registration, investment companies, and sales and trading practices. Mr. Shaikun previously served as an attorney in NASD s Enforcement Department. Prior to joining NASD in 1998, Mr. Shaikun was a trial attorney for seven years with the U.S. Department of Justice, where he prosecuted civil fraud cases. Mr. Shaikun graduated with a bachelor s degree in 1987 from Duke University, where he also has served as a visiting lecturer in public policy. He received a law degree from the University of Southern California in Mr. Shaikun is also a former reporter for the St. Petersburg Times in Florida. Michael Solomon joined FINRA in December 2011 as Senior Vice President and Regional Director of FINRA's New York Region. Mr. Solomon has responsibility for the examination and surveillance programs in the region. Prior to joining FINRA, he served as a managing director and general counsel for litigation, regulatory and employment law at Jefferies & Co. Prior to joining Jefferies; Mr. Solomon managed the Regulatory Group at UBS Financial Services from 2004 to Before that, he managed the Regulatory Examinations and Inquiries Group at Merrill Lynch from 1999 to 2004, and has also served as an associate at Morgan, Lewis & Bockius, trial counsel in the NYSE Enforcement Division and NY County assistant district attorney. Mr. Solomon received his law degree in 1989 from New York University School of Law and received an undergraduate degree from Wesleyan University. James S. Wrona is Vice President and Associate General Counsel for FINRA in Washington, DC. In this role, he is responsible for various policy initiatives, rule changes and litigation regarding the securities industry. Mr. Wrona formerly was associated with the law firm of K&L Gates LLP, where his practice focused on complex federal litigation. He also previously served as a federal law clerk for the Honorable A. Andrew Hauk of the United States District Court for the Central District of California (Los Angeles). Mr. Wrona is a frequent speaker at securities and litigation conferences and author of numerous law review articles, including The Best of Both Worlds: A Fact-Based Analysis of the Legal Obligations of Investment Advisers and Broker-Dealers and a Framework for Enhanced Investor Protection, 68 Bus. Law. 1 (Nov. 2012); The Securities Industry and the Internet: A Suitable Match?, 2001 Colum. Bus. L. Rev. 601 (2001) Financial Industry Regulatory Authority, Inc. All Rights Reserved. 5

6 Sharon K. Zackula, Esq. is Associate Vice President and Associate General Counsel in the Office of General Counsel of FINRA. She has been associated with FINRA since 1996, and is the OGC liaison to FINRA s Fixed Income Committee. She covers legal and regulatory matters involving a broad range of fixed income issues, including TRACE reporting and dissemination, all issues relating to municipal securities, and disclosures, as well as life settlements, markup, commission and fee issues, and political contributions. Prior legal employment includes the Divisions of Trading and Markets of the U.S. Securities and Exchange Commission and U.S. Commodity Futures Trading Commission, the Office of General Counsel of The Export-Import Bank of the United States, Fried Frank Harris Shriver and Jacobson (securities/corporate group), and private practice in St. Louis, MO, providing legal advice regarding a variety of corporate, securities, and commodities regulatory and legal issues, including public company disclosure obligations, private placements, registered offerings, municipal bond offerings, aircraft financing transactions, export financing, securities litigation, reinsurance, internal investigations / whistleblower responses and Japanese securities / banking regulation. She was a U.S. J. William Fulbright Scholar (Tokyo, Japan, ) (securities regulation and market access), and awarded a bachelor s degree from Washington University (St. Louis, MO) and a law degree from DePaul University College of Law (Chicago, IL). Brad Ziemba has been Chief Compliance Officer of Duncan-Williams since His responsibilities include reviewing, analyzing and evaluating risk assessment across all business units. In addition, Mr. Ziemba oversees the compliance program for the firm s broker-dealer and registered investment advisor (RIA), and serves as the firm s regulatory liaison with FINRA and the SEC. He previously was a fixedincome analyst for Duncan-Williams, a post he held from 2003 to Before joining Duncan-Williams, he worked as a technical analyst in the Investment Management Consulting Group of Morgan Keegan & Co., a senior relationship specialist for Charles Schwab & Co., and a commercial real estate market analyst with First Tennessee Bank. He began his career at Prudential Securities as a financial adviser in Mr. Ziemba graduated from the University of Memphis's Fogelman College of Business and Economics with a bachelor s degree in finance Financial Industry Regulatory Authority, Inc. All Rights Reserved. 6

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