2018 FINRA Annual Conference Speaker Biographies

Transcription

1 2018 FINRA Annual Conference Speaker Biographies Gabriela Aguero is Director in FINRA s Corporate Financing Department. In her role, she oversees the Public Offering Review (POR) program. The POR group is responsible for the review of a wide array of filings and the interpretation and application of FINRA s rules that regulate underwriting activities and conflicts of interests in public offerings. Ms. Aguero began her career at FINRA when she joined NASD in She has an MBA from the John s Hopkins Carey Business School in addition to an undergraduate degree in Finance as well as designation as a FINRA Certified Regulatory and Compliance Professional (CRCP ) Program at Wharton. Patricia Albrecht is a senior director with FINRA s Member Relations and Education Department and manages the FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP) program and FINRA s Half-Day Compliance Boot Camp program. Previously, she was an associate general counsel in FINRA s Office of General Counsel, and served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. She also has worked at the U.S. Securities and Exchange Commission in various offices and departments, including the Office of General Counsel and the Division of Trading and Markets, and serving as a counselor to Commissioner Norman Johnson. In addition, Ms. Albrecht worked for several years as a staff attorney at the U.S. Federal Fifth Circuit Court of Appeals and completed a federal judicial clerkship with U.S. District Court Judge Harry Lee Hudspeth. Katie Andrews manages the Market Operations team in FINRA s Transparency Services department. Transparency Services operates the facilities for collecting and disseminating U.S. over-the-counter (OTC) quote and trade information. It oversees FINRA's OTC trade reporting and dissemination facilities TRACE, ADF, TRFs and ORF which provide the foundation for the regulatory audit trail and provides investors with timely quote and trade information on equity and debt securities, ensuring market integrity and investor protection. Prior to joining FINRA, Ms. Andrews served as Compliance Manager with Ceros Financial Services, Inc., Manager of Broker/Dealer Operations with JP Morgan Worldwide Securities Services and Client Services Manager with Rydex Investments. James Angel is an associate professor of finance at the McDonough School of Business at Georgetown University who specializes in financial market structure. His interests include fintech, cryptocurrencies, and payments. He has visited more than 70 stock and commodities exchanges around the world in his quest to learn the details of how markets really operate. Professor Angel has served as a Visiting Academic Fellow in residence at the National Association of Securities Dealers (NASD now FINRA) and also as a visiting economist at the Shanghai Stock Exchange. He served as chairman of the Nasdaq Economic Advisory Board and later on the board of directors of the Direct Edge stock exchanges prior to their acquisition by BATS Global Markets. He is now the Academic Director of the FINRA CRCP program. Professor Angel is a co-inventor on 12 fintech patents. He has testified six times before Congress about issues relating to the design of financial markets. In addition, he has been quoted in thousands of media articles and has appeared numerous times on radio and television. He began his professional career as a rate engineer at Pacific Gas and Electric, where he worked on FERC and CPUC related issues in electricity regulation. After earning his MBA at Harvard, he worked at BARRA (later part of Morgan Stanley) where he developed transactions cost prediction and equity risk models used in portfolio management. Professor Angel earned his B.S. from the California Institute of Technology, his MBA from Harvard Business School, and his Ph.D. from the University of California at Berkeley. He has been a professor at Georgetown University since From 2012 to 2014 he was a visiting associate professor at the Wharton School of the University of Pennsylvania. The courses he has taught include Capital Markets, World Equity Markets, Investments, as well as Complex Financial Instruments and Derivatives. Alma Angotti is Managing Director and Co-Head of the Global Investigations & Compliance practice. With more than 25 years of regulatory practice, Ms. Angotti has held senior enforcement positions at the SEC, Treasury s Financial Crimes Enforcement Network (FinCEN) and FINRA (Financial Industry Regulatory Authority). In these 2018 Financial Industry Regulatory Authority, Inc. All rights reserved. 1

2 positions, she was responsible for conducting investigations involving securities fraud, insider trading, financial fraud, anti-money laundering ( AML ) and counter terrorist financing, market manipulation, investor and market protection, and other regulatory violations. At FinCEN and FINRA, she designed and led the AML enforcement programs. She regularly worked with criminal prosecutors in a variety of jurisdictions and the U.S. Department of Justice to investigate and bring actions jointly. Ms. Angotti has counselled her clients, large global financial institutions, multinational companies, smaller financial institutions, broker-dealers, money services business and other types of Fintech companies, in a variety of projects, including gap analyses, compliance program reviews, risk assessments, remediation efforts, investigations and transaction reviews. Recently, she held interim senior compliance leadership positions at several global financial institutions providing day-to-day management of their compliance programs and assisting them with implementing enhancements to comply with a regulatory or criminal enforcement action. She has trained and advised the financial services industry as well as other regulators and government officials worldwide on AML, sanctions, terrorist financing and other regulatory compliance issues. Her professional associations include; District of Columbia Bar Association, American Bar Association, American Bankers Association, and Securities Industry and Financial Markets Association (SIFMA). Ms. Angotti has earned a Bachelor of Arts, Economics and Political Science from West Virginia University and a Juris Doctor from the University of Virginia School of Law. Norm Ashkenas is Senior Vice President and Chief Compliance Officer for Fidelity Brokerage Services, running the Broker/Dealer, Investment Advisor, Trust and Insurance compliance for Fidelity Investments retail, wealth management and retirement business. He has been with Fidelity since 2003 in various compliance leadership roles, covering B/D, IA, Insurance, ERISA/Tax and TA issues. He has also been CCO for Fidelity Distributors Corporation and Fidelity Personal Trust. Mr. Ashkenas was SVP for Regulatory & Compliance Examinations with Prudential Securities Inc., and VP/Associate General Counsel for 10 years, and was a litigation attorney with Chemical Bank. He Chairs the FINRA National Adjudicatory Council, has served on the FINRA Membership, District 11 and Regulatory Advisory Committees, and serves on the Board of Directors for the National Society of Compliance Professionals. Mr. Ashkenas has spoken frequently at industry conferences including the FINRA Annual Conference, SIFMA C&L Division Annual & Regional Seminars and NSCP National & Regional Seminars. He earned a BA from Northwestern University and a JD from Fordham Law School, and holds Series 7, 14, 24 & 63. Derek Ashworth is Associate Director in FINRA s Advertising Regulation Department. The department protects investors by ensuring broker-dealer members of FINRA use communications that are fair, balanced and not misleading. Mr. Ashworth s primary responsibility is managing staff members dedicated to the routine review of member firm communications. Mr. Ashworth also participates in the Department s outreach efforts including serving as a panelist in prior FINRA conferences and presenting during selected FINRA Compliance Boot Camps. He has been with the Advertising Regulation Department for 18 years. Prior to joining FINRA, Mr. Ashworth was a program manager for a business and education partnership at Nova Southeastern University in Fort Lauderdale, FL. Previous to this role, he was a specialty banker and registered representative with First Union in West Palm Beach, FL. Mr. Ashworth received his bachelor s degree from Stetson University and completed his M.B.A. at Johns Hopkins University. Marcia E. Asquith, Executive Vice President, Board and External Relations, oversees FINRA s Offices of the Corporate Secretary, Investor Education, Member Relations, Government Affairs and Corporate Communications. Ms. Asquith's tenure at FINRA began in 2001 when she was hired as the Director of Government Relations. In 2004 she was promoted to Vice President of Government Relations and, in 2007 she was named Deputy Corporate Secretary. In her Government Relations role, Ms. Asquith created the congressional investor forums that FINRA continues to host across the country. She was also instrumental in obtaining the legislation FINRA needed to put data on the web that enables BrokerCheck, FINRA s free tool that helps investors research the backgrounds of brokers and firms. In 2017, Ms. Asquith was promoted to her current role, where she oversees the group that serves as the liaison between FINRA and its Board of Governors. She also leads FINRA s media, internal communications, investor education, member relations and government relations programs, and its editorial, production, design and multimedia communications services. Ms. Asquith joined FINRA from the Senate Agriculture Committee, where she served as Counsel to the Committee and helped write historic legislation on the regulation of futures and commodities. She has extensive knowledge of SROs and other financial services businesses. Ms. Asquith holds a BA in Economics from Oklahoma State University and a JD from the Marshall Wythe School of Law at the College of William and Mary. Afshin Atabaki is Associate General Counsel in FINRA s Office of General Counsel, Regulatory Practice and Policy. In this capacity, he renders legal advice and support to FINRA management and staff in connection with regulatory initiatives, as well as develops and interprets FINRA rules. His areas of regulatory expertise include 2018 Financial Industry Regulatory Authority, Inc. All rights reserved. 2

3 recordkeeping requirements. Mr. Atabaki graduated Phi Beta Kappa, cum laude, from the University of Maryland, College Park, with a B.A. in History and received his law degree from Cleveland-Marshall College of Law. Mitchell Atkins is Founder and Principal of FirstMark Regulatory Solutions, Inc., a compliance consultancy based in Boca Raton, Florida. His focus is complex problem solving for FINRA broker-dealers and registered investment advisers. His recent compliance focuses include anti-money laundering compliance, supervisory controls assessments, cyber security compliance, FINRA membership applications, broker-dealer acquisitions, and nontraded REIT and variable annuity compliance. Mr. Atkins has 24 years of experience in the industry, 20 years of which was in various roles at FINRA (previously NASD), most recently as Senior Vice President and Regional Director, with overall responsibility for four districts comprising FINRA's South Region (home to 850 brokerage firms). He oversaw the region's routine inspection program, sales practice special investigations, financial surveillance, and membership application programs. Mr. Atkins oversaw the development of innovative initiatives such as the National Anti-Money Laundering Investigative Unit in Mr. Atkins oversaw the successful startup of the Florida District Office of FINRA in Mr. Atkins frequently addresses financial services industry groups. He is a Certified Regulatory and Compliance Professional through the FINRA Institute at Wharton. He is a graduate of Louisiana State University and a member of the Florida Securities Dealer s Association and the SIFMA Compliance and Legal Society. Darla K. Bartkowiak is Managing Director and Chief Compliance Officer for Amherst Pierpont Securities LLC. She also serves as an officer and director of Amherst Pierpont International Ltd. Ms. Bartkowiak joined predecessor, Amherst Securities Group in 2002 as the firm s Chief Compliance Officer where she also served on the firm s Board of Directors. She began her career in the financial industry 38 years ago with the most recent 29 years being primarily focused on compliance initiatives. During this time she was also the CCO of an affiliated registered investment advisor for six years; the President and board member of AccessBroker.com; a Senior Compliance Examiner with the FINRA Dallas District Office; and the Head of Compliance at a Dallas based clearing firm. In addition to holding multiple industry registrations, she currently serves on the FINRA New York Regional Committee. She also served on the FINRA District 6 Committee for six years and served a term on the FINRA Regulatory Advisory Committee. Ms. Bartkowiak graduated with honors from Amberton University with a Bachelor of Science Degree in Human Relations and Business. Matthew Beals is Chief Operating Officer and Chief Information Officer at Bolton Global Capital. In this role, Mr. Beals oversees back office operations, platform development, infrastructure expansion, information systems, and cybersecurity. He also works closely with Bolton s executive team on business development and company strategy. Prior to his current role, Mr. Beals was Manager of Technology and Business Development for Bolton Global Capital, where he managed information systems, cybersecurity, and supported new advisor acquisition. Mr. Beals holds a BS in Mathematics and Statistics and an MBA, both from the University of Massachusetts at Amherst. He also holds FINRA Series 7 and 24 licenses. Eric Bederman is Chief Operating & Compliance Officer for Romano Wealth Management, a broker-dealer and registered investment advisor located in Evanston, Illinois specializing in portfolio management and financial planning. He has more than 20 years of experience supervising broker-dealer compliance and operations. Mr. Bederman is a current member of the District Committee for FINRA District 8. He is also a member of the FINRA Continuing Education Content Committee. Mr. Bederman previously served on the Small Firm Advisory Board (SFAB), and on the Series 7 Item Development and Content Review Committee. Additionally, he has spoken as a panelist for a variety of FINRA Small Firm meetings and seminars. Mr. Bederman has a BS from the University of Wisconsin-Madison, an MBA from the Lake Forest Graduate School of Management-Chicago, and holds the Series 4, 7, 24, 27, 53, 63, and 65 registrations. Bill Bell is District Director for the FINRA Philadelphia office. In that role, he is responsible for the execution of the offices exam plan, the Surveillance department and the overall management of the office. Prior to his promotion to Director in 2018, Mr. Bell was the Associate Director and an Exam Manager in the Philadelphia District office. Mr. Bell has also served as an examiner in the Philadelphia and Chicago offices. Mr. Bell graduated from Marist College with a BS in Business Administration and a concentration in Finance as well as a minor in Psychology. Mr. Bell also earned an MBA from Villanova University. Ornella Bergeron has been with FINRA since its inception in In her role as Senior Vice President in the Risk Oversight and Operational Regulation group of Member Regulation, she leads a group of 90 professionals who supervise and examine approximately 200 of FINRA s largest members for financial and operational soundness, risk assessment adequacy and business conduct compliance. Prior to joining FINRA, Ms. Bergeron spent 19 years 2018 Financial Industry Regulatory Authority, Inc. All rights reserved. 3

4 at the New York Stock Exchange in similar roles. Ms. Bergeron is also a Senior Program Team Member responsible for the governance over Member Regulation s Surveillance and Examination Programs. Ms. Bergeron holds a BBA in Finance from Iona College. Alan J. Berkeley is a corporate and securities regulatory lawyer whose practice encompasses corporate, Board and management counseling and crisis response, corporate transactions (including mergers, acquisitions, financing transactions for privately-held and public companies), regulatory and enforcement matters before the Securities and Exchange Commission and other securities regulatory bodies, and other corporate governance and compliance matters. He is a registered foreign lawyer with the Solicitors Regulation Authority in England and Wales and is registered as a foreign legal consultant in Brazil. Mr. Berkeley has more than 40 years of experience as counsel in corporate and business transactions and securities regulatory and enforcement matters. He has extensive professional association and academic activities, including many years as member of the adjunct faculty at Georgetown University and George Washington University law schools specializing in business planning and as a well-recognized speaker on professional and client education programs. Mr. Berkeley has been listed in The Best Lawyers in America in the category of Corporate Law since He has a J.D. from Georgetown University and B.S. from Cornell University. Richard W. Berry is Executive Vice President and Director, Office of Dispute Resolution. Prior to serving in this capacity, Mr. Berry was Senior Vice President, Dispute Resolution. In that role, he oversaw the four regional offices New York, Boca Raton, Chicago and Los Angeles and the New York Case Administration unit. Mr. Berry joined FINRA, then NASD, in 1995 as head of Dispute Resolution's Los Angeles satellite office. In 2001, he was named Director of Case Administration in the New York City office. Mr. Berry serves as Executive Champion of FINRA s Toastmasters Clubs. Prior to joining FINRA, he taught American law for one year in Budapest. Mr. Berry began his career practicing law in San Francisco. He is a graduate of the University of California at Santa Barbara and Hastings College of the Law. Mr. Berry is a member of the California Bar. Laura Leigh Blackston is Senior Regional Counsel with FINRA s Enforcement Department. Ms. Blackston joined FINRA as an attorney in Prior to joining FINRA, she was an associate and partner with the General Litigation group of the law firm Jones Walker. As Senior Regional Counsel, Ms. Blackston has handled key enforcement actions regarding anti-money laundering and has co-taught Anti-Money Laundering Regulation at FINRA s Institute at Wharton. Ms. Blackston graduated from the University of Mississippi in 1988 with honors and received her J.D. Degree from Washington and Lee University with honors in She is also a member of FINRA s Anti-Money Laundering Regulatory Expert Group and is Certified Anti-Money Laundering Specialist (CAMS). Kevin Bogue joined FINRA in January 2017 as a Regulatory Principal in the Chicago District Office. Mr. Bogue is a member of the Sales Practice Cybersecurity team responsible for examining firms' controls over their protection of sensitive client and firm information. Prior to joining FINRA, Mr. Bogue has more than 17 years of information technology (IT) and security experience working as a technology consultant with Accenture, as an internal Global IT auditor, IT Compliance Manager and SOX Program Manager with Abbott Laboratories, as an IT Compliance Manager with Brunswick and as an internal IT Audit Manager with CDW. Mr. Bogue earned an MS in Information Systems from DePaul University in Chicago, IL and a BS in Psychology from Iowa State University in Ames, IA. John Bridges is Managing Director of Capital Markets at Winslow, Evans, and Crocker, Inc., a registered Broker Dealer/RIA based in Boston, MA. Mr. Bridges started in the financial industry shortly after graduating from Westminster College in 1992 and has been with Winslow since Since joining Winslow, Mr. Bridges has held many roles, primarily in the area of Trade Desk supervision/compliance for both Equities and Fixed Income. In his current role, Mr. Bridges is responsible for overseeing and supervising the Retail and Institutional Trading Desks and is a member of the Firm s Best Execution Committee. He also serves as a liaison between the Trading and Compliance departments and is directly involved in all inquiries from the various regulatory entities. Additionally, he works closely with the Compliance Department in creating and updating the Firm s policies and procedures and the communication of these to Trade Desk personnel. Mr. Bridges holds a Bachelors Degree of Business Administration from Westminster College in New Wilmington, PA and Series 7, 24, 53, 55, and 63 licenses. Don Bruns is Senior Director of Web Services at FINRA. He is responsible for the day-to-day operations of FINRA s websites. He also serves as the User Experience Lead for FINRA.org. As a veteran of Razorfish and NavigationArts, Mr. Bruns has led digital strategy engagements for Lockheed-Martin, Breitbart, Pershing, Ernst & Young, KPMG, AARP, TIAA, the Commodity Futures Trading Commission (CFTC) and the U.S. Department of the Treasury Financial Industry Regulatory Authority, Inc. All rights reserved. 4

5 Robert G. Brunton is currently an Associate General Counsel in Edward Jones Regulatory Group handling regulatory and self-regulatory examinations and investigations, including the Firm's annual and "sweep" examinations. For more than 30 years, Mr. Brunton has represented broker-dealers and their associated persons in all aspects of arbitration, litigation and mediation, as well as regulatory and enforcement matters, while working at E.F. Hutton, Prudential Securities and several business units in the Transamerica family of companies. For approximately 10 years, Mr. Brunton practiced in the securities litigation, arbitration and enforcement defense areas while a member of, and counsel to, Kutak Rock, LLP. He is a 1978 graduate of Fordham University, a 1982 graduate of Fordham Law School and a member of the New York, Georgia and Missouri bars. Mr. Brunton also serves on the SIFMA Compliance and Legal Division State Regulation and Legislation Committee. Steven L. Brown is Managing Director & Global Head of Investment Banking and Capital Markets Legal Coverage at Morgan Stanley, where he has been a member of the law division since Prior to his current role, Mr. Brown was the global research general counsel and an investment banking coverage lawyer advising on equity and debt capital markets, mergers and acquisitions, leveraged finance and private equity in Morgan Stanley's New York and London offices. Prior to joining Morgan Stanley, he was an associate at the law firm Sullivan & Cromwell. Mr. Brown also clerked for Honorable Andrew A. Caffrey, U.S. District Court, District of Massachusetts ( ). Mr. Brown received his Juris Doctorate in 1990 from Boston College Law School, magna cum laude, where he was executive editor of the Boston College Law Review. Lance Burkett, District Director, FINRA Denver Office, began his securities industry career in 1993 as a Securities Fraud Investigator for the State of Arizona Securities Division, working exclusively on fraud cases involving brokerdealers. Later, at a FINRA member firm, he was responsible for supervising Producing Branch Managers and Field Representatives as the Field Compliance Director. Throughout his tenure with FINRA, Mr. Burkett has held positions ranging from Compliance Examiner, responsible for examining FINRA member firms for general compliance, to District Director, responsible for the management and oversight of the regulatory programs within the Denver District office. In addition to his regulatory responsibilities, Mr. Burkett earned his Certified Regulatory and Compliance Professional designation through the FINRA Institute at Wharton and has developed content and presented at several FINRA Institute class offerings. Amie Caban is Senior Managing Director and Chief Information Security Officer at Guggenheim Partners, a privately held global financial services firm. She is responsible for the Firm s Information Security and Business Continuity Management Programs, as well as Enterprise Technology Governance. Mrs. Caban sits on the Steering Committee for the Firm s Women's Innovation and Inclusion Network (WIIN). She is also a member of the Firm s IT Oversight Committee and Vendor Diversity Advisory Council. Prior to joining Guggenheim in 2009, she was the Head of Technical Services for Claymore Securities. Mrs. Caban holds a Bachelor of Science in Network Communications Management from DeVry University and Executive Management Education from the University of Chicago Booth School of Management. She is a Certified Information Security Manager (CISM) through ISACA and is a member of the Investment Company Institute's Chief Information Security Officer Advisory Committee. Albert Caiazzo is Managing Director and Chief Quality and Risk Officer for First Clearing, Wells Fargo Clearing Services, LLC. In his role, Mr. Caiazzo is responsible for risk management and regulatory matters, and the delivery of strategic solutions, and compliance and risk management services. Chair of the firm s Correspondent Business Review Committee, Mr. Caiazzo also sits on the First Clearing Leadership Team and the Wells Fargo Advisors Technology Oversight Committee. He previously served as Senior Vice President for Wexford Clearing Services Inc., a subsidiary of Prudential Securities Inc., a legacy firm of Wells Fargo Advisors. Mr. Caiazzo held various positions in the Prudential organization after joining that firm in 1983, including acting in the capacity of Chief Administrative Office for Wexford Clearing Services. Mr. Caiazzo is active in the industry and served as the chair of the Clearing Firms Committee of the Securities Industry and Financial Markets Association (SIFMA). He currently serves as the Committee Vice Chair and also represents the firm on FINRA s recently formed Clearing Firm Advisory Committee. Mr. Caiazzo currently serves on the board of directors of the St. Louis Public Schools Foundation and the Board of Directors of the Craft Alliance Center for Art and Design in St. Louis. He is a graduate of Kean University of New Jersey and the SIFMA Securities Industry Institute at The Wharton School of the University of Pennsylvania. Tracy Calder is Managing Director and Chief Risk Officer for LPL Financial. She is responsible for company-wide risk management processes and controls, and oversees key compliance, risk and supervisory functions, including Brokerage and Advisory Compliance, Financial Crimes, Business Risk Management, and Enterprise Risk Management. Additionally, Ms. Calder has responsibility for regulatory inquiries and exams. She also serves as chair of the Firm s Risk Oversight Committee. Prior to joining LPL in January 2016, Ms. Calder worked for J.P Financial Industry Regulatory Authority, Inc. All rights reserved. 5

6 Morgan Securities, where she served as managing director, chief compliance officer. Earlier in her career, Ms. Calder served as senior vice president responsible for Wells Fargo Advisors retail compliance program, and held a variety of legal and compliance roles at UBS Financial Services Inc., including head of legal for the Wealth Management Advisor Group, and chief compliance officer. Ms. Calder earned a Bachelor of Arts from Fordham University and a Juris Doctor from the University Of North Carolina School Of Law. Alan Carlisle is Chief Compliance Officer at Social Finance, Inc. (including subsidiary SoFi Securities, LLC) and is responsible for the oversight and administration of the compliance management program for the enterprise. SoFi is a new kind of finance company taking a pioneering approach to investing, lending and saving. With more than 20 years of experience in the financial services industry and capital markets, Mr. Carlisle has worked with a broad array of broker dealer business models, including FinTech, Independent, Retail and Institutional firms. His expertise lies in design and implementation of risk and compliance controls, application of existing regulatory frameworks to innovative technologies, performance measurement, and assessing the overall strengths and weaknesses of investment approach and discipline. Mr. Carlisle holds the Series 4, 7, 9, 10, 24, 27, 53, 55, 63, 65, 79 and 99 securities licenses, holds the ABA's Certified Regulatory Compliance Manager (CRCM) designation, and is a designee of the CFA Institute's CIPM program. He also holds a California Real Estate Broker s License, the CCIM designation and is a LEED AP BD+C and AP O+M. His service includes or has included the FINRA Dispute Resolutions Roster of Neutrals (Industry Panelist and Chair qualified), CCIM Professional Standards Roster, FINRA District Committee appointee for District 1, ULI Sustainable Development Council member and ADISA Capital Markets Committee chairperson. Steven B. Caruso, the Resident Partner in the New York City office of Maddox Hargett & Caruso, P.C., concentrates his practice on the representation of individual, high net worth and institutional investors in securities arbitration and litigation proceedings. Mr. Caruso is the current Chairman of FINRA s National Arbitration & Mediation Committee; Director Emeritus and former President of the Public Investors Arbitration Bar Association; former Chairman of FINRA s Discovery Task Force Committee; and a former member of the SIPC Modernization Task Force. He has testified before the U.S. House of Representatives, Committee on Financial Services (Sept and Mar. 2012); is a frequent lecturer on various topics relating to securities arbitration; and has published numerous articles on securities arbitration including Post-Settlement Expungements: An Investor Protection Problem that Continues to Wait for a FINRA Solution, Practising Law Institute (September 2017); Non-Attorney Representatives ( NARs ) Do They Present a Clear & Present Danger to the Integrity of FINRA Arbitration?, Association of the Bar of the City of New York (May 2017); Arbitrator Disclosures: Requests for Additional Information, The Neutral Corner, FINRA Dispute Resolution, Vol. No. 4 (2016); Ethical Implications of the Phantom Designation of Expert Witnesses in FINRA Securities Arbitration Proceedings, Practising Law Institute (September 2016); Definition of a FINRA Customer: To Be or Not To Be That Is the Ultimate Question, Practising Law Institute (July 2015); Discovery in FINRA Arbitration, The Neutral Corner, FINRA Dispute Resolution, Vol. No. 2 (2015); FINRA Six-Year Eligibility Rule 12206: The Purchase Date is Often Not the Triggering Occurrence or Event Giving Rise to the Claim, PIABA Bar Journal, Volume 20, No. 1 (September 2013); All Public Arbitrator Panels: A More Level Playing Field, Practising Law Institute (August 2013); Arbitrator Challenges Under the FINRA Code of Arbitration Procedure for Customer Disputes, Practicing Law Institute (August 2010); The Mandatory Industry Arbitrator: An Endangered Species on the Precipice of Extinction, Practising Law Institute (August 2009); Sunshine May be the Best Disinfectant for What Ails Securities Arbitration: A Discussion of the 2008 SICA Empirical Study of Fairness, Practising Law Institute (August 2008); Effective Closing Statements From the Perspective of Counsel for the Customer-Claimant, New York State Bar Association (November 2007); Essential Principles for Honorable Arbitrators, Practising Law Institute (August 2007); Motions to Dismiss: A Predatory Tactic That Must be Extinguished, Association of the Bar of the City of New York (June 2007); Ethical Standards for Securities Arbitrators: A Statistical Perspective of Potential Partiality (Bias), Practising Law Institute (August 2006); Arbitrator Training in the Securities Dispute Arena, The Review of Securities & Commodities Regulation (January 2005); Discovery Objections Which are Irrelevant, Unduly Burdensome and are Reasonably Calculated to Lead to the Concealment of Admissible Evidence, New York State Bar Association (October 2004); Model Arbitrator Instructions: Luxury or Emerging Necessity, Practising Law Institute (August 2004); Ethical Considerations in Settlement Agreements, Association of the Bar of the City of New York (June 2004); Examination of the Adverse Broker: Unimpeachable Questions with an Internet Twist, Practising Law Institute (August 2001); On-Line Trading: The New Frontier, Practising Law Institute (July 1999); and NASD Arbitration Discovery Procedures : Knowing Your Customer From the Securities Professional Perspective, American Bar Association (August 1995). Mark Catana is Managing Director and the Head of Markets Compliance at J.P. Morgan, where he has worked since He is responsible for managing the Compliance advisory program for the Fixed Income, Currencies & Commodities, Equities, Debt and Equity Capital Markets, and Futures and Options businesses in the firm s 2018 Financial Industry Regulatory Authority, Inc. All rights reserved. 6

7 Corporate and Investment Bank. Previously, he was Regional Counsel with FINRA (then NASD) Enforcement in New York, and before that Vice President and Associate General Counsel in the Nomura Securities International, Inc. Legal Department. He began his career in private practice as an associate with Schulte Roth & Zabel LLP and with Drinker Biddle & Reath (then Shanley & Fisher, PC). Mr. Catana has an A.B. from Columbia University and a J.D. from the University Of Virginia School Of Law. Patrick J. Caulfield is Vice President and Chief Compliance Officer for Lincoln Financial Group Distribution (LFGD), which includes Lincoln Financial Network, the company s retail private client business, and Lincoln Financial Distributors (LFD), the company s wholesale business. In this role, Mr. Caulfield is responsible for development of risk-based compliance policies, procedures and controls for, and oversight of all compliance issues that impact, the LFGD broker-dealers and investment advisors. Previously, Mr. Caulfield was Chief Counsel and Chief Compliance Officer for LFD. Prior to joining Lincoln in 2002, Mr. Caulfield spent approximately 20 years with the Equitable Life Assurance Society of the United States and its successor companies, AXA Client Solutions and AXA Advisors, where he held a number of senior level legal and business positions. For many years, he served as general counsel to retail distribution and chief employment law counsel to the entire corporation. During his last three years with Equitable and AXA, Mr. Caulfield was senior vice president and chief operating officer for retail distribution. Mr. Caulfield has written and lectured extensively on a variety of compliance and legal matters before employer, trade and bar associations including SIFMA, FSI, ACLI, ALIC, LIMRA, NSCP, the Compliance Forum and the American Corporate Counsel Association. Mr. Caulfield is a graduate of St. Peter s University, where he received a B.S. in Mathematics, and Fordham University School of Law, where he received his J.D. He also has FINRA Series 7, 24, 51 and 66 designations. He is former Chairman of the Regulatory Compliance Committee of LIMRA, and is a member of the NSCP, the Compliance Forum and the Broker-Dealer Committee of IRI. Anthony Cavallaro is a senior vice president and the head of the Central Review Group of FINRA s Office of Fraud Detection and Market Intelligence. He is responsible for managing two units that review and investigate regulatory filings, complaints and other matters received regarding violations of SEC and FINRA rules and regulations. Mr. Cavallaro reports to the Department s Executive Vice President. Prior to his current role, Mr. Cavallaro was a vice president in the Member Regulation Department and also served in the Enforcement Department of FINRA where he managed two units that investigated and prosecuted violations of securities laws and regulations. Mr. Cavallaro was a vice president at the New York Stock Exchange and began serving at FINRA when NYSE Member Regulation and Enforcement consolidated with NASD to form FINRA in Prior to joining the NYSE in 1997, Mr. Cavallaro was an Assistant District Attorney in the New York County District Attorney s Office where he was responsible for investigating and prosecuting various criminal matters including white-collar cases. Mr. Cavallaro received his law degree from St. John s University School Law and a B.S. in finance from Fordham University, College of Business Administration. He is a military veteran and retired with the rank of major after 20 years of service in the US Army Reserve. Ron Chan is Managing Regulatory Coordinator in the Risk Oversight and Operational Regulation division of FINRA s department of Member Regulation. In his current role, Mr. Chan is responsible for the risk assessment and surveillance of certain FINRA member firms, with a focus on the framework of financial, operational, and business conduct controls. He began his career in Operations Control at National Financial Services LLC, and was with Citigroup Global Markets Inc. as a Vice President in Regulatory Reporting, where he maintained a Series 27 license before joining FINRA in Mr. Chan earned a Bachelor of Arts degree in both Economics and Sociology from Stony Brook University, and in 2014 completed the Certified Regulatory Compliance Professional program sponsored by the FINRA Institute at Wharton. Evan Charkes is Managing Director and Associate General Counsel for Bank of America, and supports the US Merrill Lynch Wealth Management business, including social media and mobility programs. Mr. Charkes is also Chief Counsel to the Firm s Private Banking and Investment Group, which services the wealth management needs of ultra-high new worth clients. Mr. Charkes has spent a significant portion of his career supporting wealth management businesses, including at Citi, where he was a Managing Director and Deputy General Counsel for its Global Wealth Management business. Mr. Charkes has also spent a portion of his career supporting banking related businesses for global banks, including as a Director of Financial Holding Company Compliance for Morgan Stanley, and as a Deputy General Counsel for Citi s Commercial Business Group. Mr. Charkes started his career as a litigation associate in private practice in New York City. Mr. Charkes is currently the Vice Chair of FINRA s National Adjudicatory Council and a former member of the FINRA Compliance Advisory Committee and FINRA International Committee. Mr. Charkes also formerly served for several years as the co-chair of the SIFMA Compliance and Regulatory Policy Committee and SIFMA Self-Regulation and Supervisory Practices Committee, and has been a frequent speaker at the SIFMA Compliance & Legal Society annual seminar. He has contributed articles to the New 2018 Financial Industry Regulatory Authority, Inc. All rights reserved. 7

8 York Law Journal and Wall Street Lawyer. Mr. Charkes is an Adjunct Professor at the Elisabeth Haub School of Law at Pace University and teaches securities regulation. He is a member of the Board of Directors of the Pro Bono Partnership, a non-profit organization that provides legal services to nonprofit organizations in Connecticut, New Jersey and New York. Mr. Charkes is a graduate of Georgetown University Law Center and Columbia College. Jay Clayton was nominated to chair the U.S. Securities and Exchange Commission on January 20, 2017 by President Donald Trump and sworn in on May 4, Since joining the Commission, Chairman Clayton has focused on the long-term interests of America s retail investors, a perspective he shares with the SEC staff. Chairman Clayton has made it a priority to increase the access of retail investors to a diverse range of investment opportunities and see that they continue to benefit from the protections of our securities laws. Key areas of focus for Chairman Clayton include: making our capital markets more accessible to businesses and investors alike, while ensuring the United States continues to be the world s leader in terms of effective disclosure and other investor protections; and examining and addressing equity and fixed income market structure issues with an emphasis on fairness, efficiency and resiliency, recognizing that our markets are ever-changing. Chairman Clayton also has been outspoken on securities law issues related to distributed ledger technology, cryptocurrencies and initial coin offerings. Prior to joining the Commission, Chairman Clayton was a partner at Sullivan & Cromwell LLP, where he was a member of the firm s Management Committee and co-head of the firm s corporate practice. Chairman Clayton has authored publications on securities law, cybersecurity, and other regulatory issues, and from 2009 to 2017 he was a Lecturer in Law and Adjunct Professor at the University of Pennsylvania Law School. Prior to joining Sullivan & Cromwell, Chairman Clayton served as a law clerk for the Honorable Marvin Katz of the U.S. District Court for the Eastern District of Pennsylvania. A member of the New York and Washington, D.C. bars, Chairman Clayton earned a B.S. in Engineering from the University of Pennsylvania (summa cum laude), a B.A. and M.A. in Economics from the University of Cambridge (Thouron Scholar), and a J.D. from the University of Pennsylvania Law School (cum laude, Order of the Coif). Chairman Clayton was born at Fort Eustis in Newport News, Virginia and was raised primarily in central and southeastern Pennsylvania. In his professional career, he has lived in Philadelphia, New York, London, and Washington, D.C. Brent P. Cohen is the U.S. Head of AML Compliance at RBC Capital Markets, LLC responsible for oversight of AML, sanctions and the financial crime program for the institutional trading business, investment banking, corporate banking and the Royal Bank of Canada-World Financial Center branch. Prior to RBC Capital Markets LLC, Mr. Cohen served as the Director of AML Compliance within FINRA s Enforcement Department. His primary responsibilities included assisting with anti-money laundering issues arising in investigations and examinations, as well as advising staff FINRA-wide on issues involving the handling of suspicious activity reports (SARs). Before FINRA, Mr. Cohen was a vice president in the AML-Suspicious Activities Group at Goldman Sachs & Co. In that role, he was responsible for investigating potentially suspicious activity across the firm's various business lines, including private wealth management, prime brokerage and clearing and execution. Mr. Cohen also previously served as an assistant general counsel in the Money Laundering Prevention Group at UBS Financial Services, Inc., where he investigated possible violations of the Bank Secrecy Act ("BSA") and provided legal advice to business units concerning BSA requirements and the implementation of the firm's policies and procedures. Mr. Cohen received his B.A. from the State University of New York at Albany, from which he graduated summa cum laude, and his J.D., with honors, from the University of North Carolina School of Law. Robert Cohen is the first Chief of the SEC Division of Enforcement s Cyber Unit, which was created in September Mr. Cohen supervises investigations concerning cyber-related securities law violations, including: initial coin offerings and other cryptocurrency-related conduct; hacking to obtain nonpublic information; brokerage account takeovers; cyber-related market manipulations; cybersecurity controls at regulated entities; and cybersecurity disclosures by public companies. From 2015 to 2017, Mr. Cohen was Co-Chief of the SEC s Market Abuse Unit. Mr. Cohen supervised investigations of large-scale market structure and trading misconduct, including: violations by national securities exchanges and dark pools; manipulation cases involving fake SEC filings; and complex insider trading cases, including a case involving a government employee, a political intelligence consultant, and hedge fund analysts, and a case involving a managing clerk of a national law firm whose tips were passed at Grand Central Terminal. Prior to joining the Commission in 2004, Mr. Cohen was in private practice and served as a law clerk in the United States District Court for the District of Maryland. He received his J.D. from the New York University School of Law, where he served on the Law Review, and received a B.S. from Cornell University. Robert L.D. Colby is Chief Legal Officer of the Financial Industry Regulatory Authority (FINRA), which he joined in June In this capacity, he oversees FINRA s corporate and regulatory General Counsel functions as well as FINRA s Advertising and Corporate Financing Departments and the Office of Hearing Officers. Previously, Mr. Colby was a partner in the Washington, DC, office of Davis Polk & Wardwell LLP, where he advised on regulatory and 2018 Financial Industry Regulatory Authority, Inc. All rights reserved. 8

9 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 Deputy Director of the U.S. Securities and Exchange Commission s Division of Trading and Markets. In that role, he was responsible for the regulation of broker-dealers, securities markets and clearing organizations. Previously, for 11 years he was Chief Counsel of the Division and Chief of the Division s Branch of Market Structure. Christopher Cook currently is Associate Director in FINRA s Office of the Ombudsman. The Office of the Ombudsman provides a neutral forum for FINRA constituents to voice their concerns about operations, enforcement, or other FINRA activities or staff. In his role as an Ombudsman, Mr. Cook conducts independent reviews of constituents concerns and works toward the identification and evaluation of positive solutions for all parties involved. Mr. Cook returned to FINRA when he joined the Office in Previously, Mr. Cook was an independent consultant, providing regulatory compliance expertise to broker-dealers. He fulfilled firms commitments to have their programs revamped by an independent consultant in the wake of significant regulatory sanctions, and provided guidance regarding regulatory risk management, regulatory policies, and written supervisory procedures. Mr. Cook also helped firms prepare for SEC and SRO regulatory inspections. Prior to his tenure as a consultant, Mr. Cook was Director of Quality Assurance in FINRA s Member Regulation Department, where he focused on assessing and enhancing regulatory operations in the District Offices. In that role, he and his staff reviewed surveillance matters, examinations, and investigations to help ensure that regulatory violations were detected and appropriately addressed, as well as opportunities to improve procedures and training. Mr. Cook also co-managed an investigation of a dozen firms mutual fund sales practices, which resulted in $40 million in sanctions. Additionally, he was the primary liaison for SEC and FINRA Internal Audit inspections of the department. Mr. Cook has an MBA with honors from Hood College and a Bachelor s degree in Economics from the University of Maryland. Mr. Cook also is a Certified Regulatory and Compliance Professional (CRCP ) since Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation. From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division s professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities exchanges and markets, clearing agencies and FINRA. In addition, the Division reviewed and acted on over 2,000 rule filings and new product listings each year from selfregulatory organizations, including the securities exchanges and FINRA, and was responsible for implementing more than 30 major rulemaking actions and studies generated by the Dodd-Frank and JOBS Acts. He also directed the staff s review of equity market structure. Immediately prior to joining FINRA, and before his service at the SEC, Mr. Cook was a partner based in the Washington, DC, office of an international law firm. His practice focused on the regulation of securities markets and market intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies. During his years of private practice, Mr. Cook worked extensively on brokerdealer regulation, advising large and small firms on a wide range of compliance matters. Mr. Cook earned his J.D. from Harvard Law School in 1992, a Master of Science in Industrial Relations and Personnel Management from the London School of Economics in 1989, and an A.B. in Social Studies from Harvard College in Todd Cook is Managing Director and Associate General Counsel in the Asset & Wealth Management division of JPMorgan Chase & Co. He is currently Global Head of Legal for the firm s Intelligent Digital Solutions business, which creates and supports web, voice and mobile solutions and a range of FinTech initiatives in the asset and wealth management space. From 2008 through 2016, Mr. Cook was General Counsel for the J.P. Morgan Securities line of business. In that role, Mr. Cook managed a team of brokerage, investment advisory and banking lawyers to support high, ultra-high and middle market institutional clients. Before joining JPMorgan, Mr. Cook was a senior attorney in the Bear Stearns Private Client Group ( ) and Merrill Lynch s Wealth Management Division ( ). Mr. Cook holds a B.A. from Colgate University, a J.D. from Fordham University and an M.B.A. in Finance and Accounting from New York University. He serves on the SIFMA Private Client Legal Committee and is a member of FINRA s recently-formed Fintech Industry Committee, which facilitates discussion on FinTech developments, including how FINRA s rules and programs interact with technology innovations. Meredith Cordisco is Associate General Counsel with FINRA s Office of General Counsel. In this capacity, she provides legal guidance on policy initiatives, rule changes and interpretations in various areas, including regarding new issues and spinning, private securities transactions and outside business activities. Before joining FINRA, Ms. Cordisco was counsel in the Securities Litigation and Enforcement group at WilmerHale, where she focused her practice on complex securities enforcement investigations. Ms. Cordisco received her B.S., summa cum laude, in International Business and French from Mount St. Mary s University in Emmitsburg, Maryland, and her J.D., summa cum laude, and M.B.A., cum laude, from Villanova University. Following her studies, Ms. Cordisco clerked for the Honorable Eduardo C. Robreno on the U.S. District Court for the Eastern District of Pennsylvania Financial Industry Regulatory Authority, Inc. All rights reserved. 9