Design Thinking Workshop Friday, October 6 11:00 a.m. 12:00 p.m.

Size: px
Start display at page:

Download "Design Thinking Workshop Friday, October 6 11:00 a.m. 12:00 p.m."

Transcription

1 Design Thinking Workshop Friday, October 6 11:00 a.m. 12:00 p.m. Christine Wheatley, Design Strategist at Fidelity Labs, leads this dynamic session on using design thinking principles to create more effective disclosures in communications with the public. Moderator: Christine Wheatley Principal Design Strategist Fidelity Investments LLC Panelists: Alexander Gavis Senior Vice President and Deputy General Counsel, FMR Legal Department Fidelity Investments LLC Thomas Pappas Vice President FINRA Advertising Regulation I. Introduction II. III. IV. Overview of Design Thinking A. What is Human Centered Design B. What is Empathy Research C. What is Rapid Prototyping and Testing Design Thinking Exercises A. Developing User Empathy and Seeking Opportunities B. Designing a Prototype C. Testing for Actionable Feedback Debrief A. Applying Design Thinking to Your Work B. New Areas to Explore C. Resources 2017 Financial Industry Regulatory Authority, Inc. All rights reserved. 1

2 Design Thinking Workshop Panelist Bios: Moderator: Christine Wheatley is a principal design strategist at Fidelity Labs where she has applied humancentered design to everything from financial wellness to digital currency. In her role, Ms. Wheatley helps her colleagues bring a customer lens to their work and translate people s needs into design solutions. Prior to joining Fidelity Labs, Ms. Wheatley was focused on solving problems in the non-profit sector at both The Clinton Foundation and UNICEF. Ms. Wheatley is a graduate of the MBA program at the Rotman School of Management where she served as Director of the Rotman Design Challenge. Panelists: Alexander C. Gavis is Senior Vice President & Deputy General Counsel in the Corporate Legal Department of FMR LLC, the parent company of Fidelity Investments, one of the largest brokerage and mutual fund companies in the United States and the leading provider of workplace retirement savings plans. He manages a team of attorneys and professionals responsible for providing legal services to the firm's retail brokerage, stock plan and workplace retirement businesses. He also oversees and manages legal services for Fidelity's businesses involved in electronic and mobile commerce, start-up innovation, and social media. Mr. Gavis provides legal advice on all of Fidelity s national advertising and marketing initiatives. Prior to joining Fidelity in 1997, Mr. Gavis served as Assistant Counsel at the Investment Company Institute and as Senior Counsel in the Office of General Counsel at the U.S. Securities and Exchange Commission, both in Washington, DC. He also served as a judicial law clerk for The Honorable William T. Allen, Chancellor of the Court of Chancery for the State of Delaware. He has worked in investment banking in New York at Salomon Brothers Inc, handling mergers and acquisitions. Mr. Gavis received his J.D., cum laude, from the University of Pennsylvania Law School, where he served as Editor-in-Chief of the University of Pennsylvania Law Review, and his bachelor s degree, with High Honors and Phi Beta Kappa, from Swarthmore College. As an adjunct professor at Suffolk University Law School, he teaches the class Designing Thinking for Lawyers and Business Professionals and has taught at the Stanford University Design and Law Schools and at Harvard Law School. Mr. Gavis currently serves as chair of FINRA s Public Communications Committee and past member of the Social Media Task Force (chair) and E-Brokerage (chair) and Membership Committees. Thomas A. Pappas is Vice President of the FINRA Advertising Regulation Department, which regulates the advertisements, sales literature and correspondence used by FINRA member firms. His responsibilities include rule development, management of the filing and surveillance programs and related enforcement activities. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. He was previously registered with Davenport & Company LLC. He received a bachelor s degree from The University of Richmond and an MBA from Virginia Commonwealth University Financial Industry Regulatory Authority, Inc. All rights reserved. 2

3 2017 Advertising Regulation Conference October 5 6, 2017 Washington, DC Design Thinking Workshop

4 Panelists Moderator Christine Wheatley, Principal Design Strategist, Fidelity Investments LLC Panelists Alexander Gavis, Senior Vice President and Deputy General Counsel, FMR Legal Department, Fidelity Investments LLC Thomas Pappas, Vice President, FINRA Advertising Regulation FINRA Advertising Regulation Conference 2017 FINRA. All rights reserved. 1

5

6 89% OF COMPANIES BELIEVE CUSTOMER EXPERIENCE WILL BE THEIR PRIMARY BASIS OF COMPETITION IN (in 2011 that number was 36%)

7

8 IF WE LOOK DEEPLY INTO MOST PROBLEMS, WE WILL FIND PEOPLE. BUT IF WE LOOK DEEPLY INTO PEOPLE, WE WILL FIND OUR SOLUTIONS. DAN ROAM

9

The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit Monday, May 21 3:00 p.m. 4:00 p.m.

The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit Monday, May 21 3:00 p.m. 4:00 p.m. The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit Monday, May 21 3:00 p.m. 4:00 p.m. Compliance and business supervision roles are becoming difficult to differentiate.

More information

Lessons Learned by Experienced CEOs of Broker-Dealers Thursday, November 12 10:15 a.m. 11:15 a.m.

Lessons Learned by Experienced CEOs of Broker-Dealers Thursday, November 12 10:15 a.m. 11:15 a.m. Lessons Learned by Experienced CEOs of Broker-Dealers Thursday, November 12 10:15 a.m. 11:15 a.m. During this session, FINRA moderates a discussion with seasoned small firm business owners about the common

More information

Mark-Up Disclosure Requirements Thursday, September 14 2:15 p.m. 3:15 p.m.

Mark-Up Disclosure Requirements Thursday, September 14 2:15 p.m. 3:15 p.m. Mark-Up Disclosure Requirements Thursday, September 14 2:15 p.m. 3:15 p.m. This session focuses on FINRA and MSRB mark-up disclosure requirements. Panelists discuss securities covered by the new rule,

More information

Effective Processes for Suspicious Activity Monitoring and Investigations (AML Track) Tuesday, May 22 3:00 p.m. 4:00 p.m.

Effective Processes for Suspicious Activity Monitoring and Investigations (AML Track) Tuesday, May 22 3:00 p.m. 4:00 p.m. Effective Processes for Suspicious Activity Monitoring and Investigations (AML Track) Tuesday, May 22 3:00 p.m. 4:00 p.m. Join FINRA staff and industry practitioners as they discuss effective processes

More information

WHO WE SERVE. Regulators Business and Law Schools. Executives and Staff Job Seekers & Students

WHO WE SERVE. Regulators Business and Law Schools. Executives and Staff Job Seekers & Students RCA MISSION Protect investors and financial markets as the exclusive authority for compliance education, training, accreditation, certification, skills assessment, and employee development. 1 WHO WE SERVE

More information

Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus) Wednesday, May 17 10:00 a.m. 11:00 a.m.

Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus) Wednesday, May 17 10:00 a.m. 11:00 a.m. Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus) Wednesday, May 17 10:00 a.m. 11:00 a.m. Join FINRA staff as they discuss FINRA s cycle examination process and

More information

Plenary Session III: Dispelling Myths around the FINRA Board Monday, May 21 4:15 p.m. 5:15 p.m.

Plenary Session III: Dispelling Myths around the FINRA Board Monday, May 21 4:15 p.m. 5:15 p.m. Plenary Session III: Dispelling Myths around the FINRA Board Monday, May 21 4:15 p.m. 5:15 p.m. During this session, panelists discuss what goes on at a FINRA Board meeting. Moderator: Panelist: Marcia

More information

Fixed Income Sales and Trading: Current Issues Tuesday, May 22 11:15 a.m. 12:15 p.m.

Fixed Income Sales and Trading: Current Issues Tuesday, May 22 11:15 a.m. 12:15 p.m. Fixed Income Sales and Trading: Current Issues Tuesday, May 22 11:15 a.m. 12:15 p.m. This session discusses the current trends in, and their potential implications for, the fixed income markets and how

More information

Ask FINRA Staff Wednesday, December 2 4:30 p.m. 5:30 p.m.

Ask FINRA Staff Wednesday, December 2 4:30 p.m. 5:30 p.m. Ask FINRA Staff Wednesday, December 2 4:30 p.m. 5:30 p.m. FINRA senior staff provides updates on regulatory key issues, enforcement and hot topics facing the industry. They address questions relating to

More information

Social Media and Digital Communications Tuesday, May 22 3:00 p.m. 4:00 p.m.

Social Media and Digital Communications Tuesday, May 22 3:00 p.m. 4:00 p.m. Social Media and Digital Communications Tuesday, May 22 3:00 p.m. 4:00 p.m. FINRA and industry experts discuss the guidance provided in FINRA Regulatory Notice 17-18. Panelists address how firms have implemented

More information

Kenneth L. Bachman, Jr.

Kenneth L. Bachman, Jr. Kenneth L. Bachman, Jr. Partner, Washington Office Kenneth L. Bachman is a partner based in the Washington, D.C. office. Mr. Bachman's practice focuses on financial institution and economic sanctions matters,

More information

A Need for Lawyers With Empathy

A Need for Lawyers With Empathy A Need for Lawyers With Empathy There is an opportunity and a need for lawyers to be better listeners, a skill not typically honed in law school and developed during the course of one s career. By Alexander

More information

ALI-ABA Topical Courses The Rising Tide of Shareholder Activism December 3, 2009 Topical Audio Webcast TABLE OF CONTENTS

ALI-ABA Topical Courses The Rising Tide of Shareholder Activism December 3, 2009 Topical Audio Webcast TABLE OF CONTENTS ALI-ABA Topical Courses The Rising Tide of Shareholder Activism December 3, 2009 Topical Audio Webcast PROGRAM SCHEDULE FACULTY PARTICIPANTS FACULTY BIOGRAPHIES STUDY MATERIALS TABLE OF CONTENTS 1. The

More information

Ask the Regulator and Industry Experts Thursday, September 14 3:30 p.m. 4:30 p.m.

Ask the Regulator and Industry Experts Thursday, September 14 3:30 p.m. 4:30 p.m. Ask the Regulator and Industry Experts Thursday, September 14 3:30 p.m. 4:30 p.m. During this session, panelists answer your questions related to the fixed income regulatory landscape. Panelists also address

More information

WE PROMOTE GROWTH. WE ARE A FINANCIAL SERVICES VALUE ADVOCATE.

WE PROMOTE GROWTH. WE ARE A FINANCIAL SERVICES VALUE ADVOCATE. WE PROMOTE GROWTH. WE ARE A FINANCIAL SERVICES VALUE ADVOCATE. ABOUT US BayBoston is a minority-owned private equity firm that provides sophisticated strategic advice and capital to community banks and

More information

Emerging FinTech Trends (FinTech Track) Tuesday, May 22 10:00 a.m. 11:00 a.m.

Emerging FinTech Trends (FinTech Track) Tuesday, May 22 10:00 a.m. 11:00 a.m. Emerging FinTech Trends (FinTech Track) Tuesday, May 22 10:00 a.m. 11:00 a.m. Join FINRA staff and industry representatives as they discuss how recent developments in financial technology (FinTech) are

More information

Creating an Effective Records Management and Retention Program (B2BC Track) Tuesday, May 22 3:00 p.m. 4:00 p.m.

Creating an Effective Records Management and Retention Program (B2BC Track) Tuesday, May 22 3:00 p.m. 4:00 p.m. Creating an Effective Records Management and Retention Program (B2BC Track) Tuesday, May 22 3:00 p.m. 4:00 p.m. This session is designed for compliance professionals who are new to the financial services

More information

Steve Hamilton, J.D., CLU, ChFC Director, Advanced Consulting Group Nationwide

Steve Hamilton, J.D., CLU, ChFC Director, Advanced Consulting Group Nationwide Steve Hamilton, J.D., CLU, ChFC Director, Advanced Consulting Group Nationwide Email: hamils25@nationwide.com Direct: 614.249.0935 Steve has over 30 years of experience in the financial services industry.

More information

Supervision of Outside Business Activities (OBAs) and Private Securities Transactions Wednesday, November 9 3:30 p.m. 4:30 p.m.

Supervision of Outside Business Activities (OBAs) and Private Securities Transactions Wednesday, November 9 3:30 p.m. 4:30 p.m. Supervision of Outside Business Activities (OBAs) and Private Securities Transactions Wednesday, November 9 3:30 p.m. 4:30 p.m. Outside business activities (OBAs) and private securities transactions (PSTs)

More information

Membership Application Program (MAP) Wednesday, May 23 9:45 a.m. 10:45 a.m.

Membership Application Program (MAP) Wednesday, May 23 9:45 a.m. 10:45 a.m. Membership Application Program (MAP) Wednesday, May 23 9:45 a.m. 10:45 a.m. Attend this session to learn about FINRA s Membership Application Program (MAP). Discussions include an overview of the application

More information

The Compass Group at Morgan Stanley Smith Barney. Naples and Marco Island Florida

The Compass Group at Morgan Stanley Smith Barney. Naples and Marco Island Florida The Compass Group at Morgan Stanley Smith Barney Naples and Marco Island Florida 8889 Pelican Bay Blvd. Suite 300, NAPLES, FL 34108 239-449-7859 / MAIN 800-237-8686 / TOLL-FREE 239-449-7850 / FAX http://fa.morganstanleyindividual.com/carusozapalski/

More information

Jack B. Jacobs SENIOR COUNSEL

Jack B. Jacobs SENIOR COUNSEL Jack B. Jacobs SENIOR COUNSEL jjacobs@ycst.com Wilmington P: 302.571.6626 Jack Jacobs has more than 45 years of legal experience most notably serving on the Delaware Supreme Court from 2003 2014, and before

More information

Outside Business Activities (OBAs) and Private Securities Transactions (PSTs) Thursday, November 8 1:45 p.m. 2:45 p.m.

Outside Business Activities (OBAs) and Private Securities Transactions (PSTs) Thursday, November 8 1:45 p.m. 2:45 p.m. Outside Business Activities (OBAs) and Private Securities Transactions (PSTs) Thursday, November 8 1:45 p.m. 2:45 p.m. Outside business activities (OBAs) and private securities transactions (PSTs) are

More information

Judge Patricia L. West

Judge Patricia L. West Judge Patricia L. West Career History Chief Deputy Attorney General Office of the Attorney General, Richmond, Virginia 2012 -Present Oversee the legal and administrative operations of the Commonwealth's

More information

1280 CENTRE STREET, SUITE 2, NEWTON CENTER, MA BAYBOSTON.COM

1280 CENTRE STREET, SUITE 2, NEWTON CENTER, MA BAYBOSTON.COM BAYBOSTON IS A PRIVATE EQUITY FIRM THAT INVESTS IN: Community Banks Financial Services Companies WE PROMOTE GROWTH. WE ARE A COMMUNITY BANKING VALUE ADVOCATE. ABOUT US BayBoston is a minority-owned private

More information

1997 William & Mary Tax Conference Speakers

1997 William & Mary Tax Conference Speakers College of William & Mary Law School William & Mary Law School Scholarship Repository William & Mary Annual Tax Conference Conferences, Events, and Lectures 1997 1997 William & Mary Tax Conference Speakers

More information

LISA TILTON-McCARTHY

LISA TILTON-McCARTHY LISA TILTON-McCARTHY Lisa Tilton-McCarthy received a B.A. in English from Texas A&M University in College Station and graduated summa cum laude from South Texas College of Law in Houston. She was Editor-in-Chief

More information

SPEAKERS A S H A B A N G A L O R E

SPEAKERS A S H A B A N G A L O R E SPEAKERS ASHA BANGALORE Vice President Economist Asha has been an economist with Northern Trust since 1994. Prior to joining Northern Trust, she was a consultant to savings and loan institutions and commercial

More information

WILSON SONSINI GOODRICH & ROSATI

WILSON SONSINI GOODRICH & ROSATI WILSON SONSINI GOODRICH & ROSATI IS PLEASED TO ANNOUNCE THAT THE FOLLOWING ATTORNEYS HAVE BECOME PARTNERS AT THE FIRM. Troy Foster Corporate & Securities, Palo Alto Jessica L. Margolis Litigation, New

More information

Candidate Profile Form District Committee Election Kelly Anderson

Candidate Profile Form District Committee Election Kelly Anderson Kelly Anderson Compliance Director RBC Capital Marke Kelly Anderson is Compliance Director at RBC Wealth Management, a division of RBC Capital Markets, LLC. Since 2004 she has been responsible for the

More information

PRACTICAL STRATEGIES FOR DOING BUSINESS IN CHINA Thursday, October 25, 2007

PRACTICAL STRATEGIES FOR DOING BUSINESS IN CHINA Thursday, October 25, 2007 PRACTICAL STRATEGIES FOR DOING BUSINESS IN CHINA Thursday, October 25, 2007 AGENDA 3:00 p.m. 3:30 p.m. Registration/Networking 3:35 p.m. 3:45 p.m. Welcoming Remarks 3:50 p.m. 5:00 p.m. Nancy J. Sennett,

More information

THE STATE BAR OF CALIFORNIA

THE STATE BAR OF CALIFORNIA THE STATE BAR OF CALIFORNIA The Labor & Employment Law Section 21 st Annual Public Sector Program Session 7 Do s and Don ts of Filing and Responding to PERB Charges Friday, April 24, 2015 3:15 p.m. 4:45

More information

Emerging FinTech Trends (FinTech Track) Monday, May 21 3:00 p.m. 4:00 p.m.

Emerging FinTech Trends (FinTech Track) Monday, May 21 3:00 p.m. 4:00 p.m. Emerging FinTech Trends (FinTech Track) Monday, May 21 3:00 p.m. 4:00 p.m. Join FINRA staff and industry representatives as they discuss how recent developments in financial technology (FinTech) are disrupting

More information

Robert D. Luskin. Washington, D.C. Practice Areas. Admissions. Education. Partner, Litigation Department

Robert D. Luskin. Washington, D.C. Practice Areas. Admissions. Education. Partner, Litigation Department Robert D. Luskin Partner, Litigation Department robertluskin@paulhastings.com Robert Luskin is a partner in the Investigations and White Collar Defense practice at Paul Hastings and is based in the firm

More information

Securities Regulation and the Global Economic Crisis: What Does the Future Hold?

Securities Regulation and the Global Economic Crisis: What Does the Future Hold? Securities Regulation and the Global Economic Crisis: What Does the Future Hold? Seton Hall Law Review Annual Symposium Friday, October 30, 2009 Speakers Michelle M. Harner Associate Professor of Law,

More information

1004: Corporate Communications and Attorney-Client Privilege: What You Need to Know

1004: Corporate Communications and Attorney-Client Privilege: What You Need to Know Print Page 2016 ACC Annual Meeting October 16-19, San Francisco, CA Wednesday, October 19, 2016 11:00 AM - 12:30 PM 1004: Corporate Communications and Attorney-Client Privilege: What You Need to Know Edward

More information

Understanding the Basics of the Examination Process (B2BC) Tuesday, May 16 11:15 a.m. 12:15 p.m.

Understanding the Basics of the Examination Process (B2BC) Tuesday, May 16 11:15 a.m. 12:15 p.m. Understanding the Basics of the Examination Process (B2BC) Tuesday, May 16 11:15 a.m. 12:15 p.m. This Back to Basics Compliance session focuses on what you can expect during a FINRA cycle examination.

More information

Michael B. Abbott. Partner

Michael B. Abbott. Partner Michael B. Abbott Partner michael.abbott@faegrebd.com Contact Information 801 Grand Avenue, 33rd Floor Des Moines, Iowa 50309 T: +1 515 447 4720 F: +1 515 248 9010 Services & Industries Private Equity

More information

I N A U G U R A L E V E N T

I N A U G U R A L E V E N T I N A U G U R A L E V E N T May 31, 2000, at 3:30 p.m. New Jersey Department of Law & Public Safety I want it to become known that the Attorney General s Office offers the best training an attorney can

More information

Experienced. Focused. Reliable.

Experienced. Focused. Reliable. Experienced. Focused. Reliable. Trusted advice during uncertain times. Argus Capital Partners LLC is an independent merchant banking firm focused on providing flexible and creative private equity solutions.

More information

Michael T. Gass Practice Group Leader

Michael T. Gass Practice Group Leader Michael T. Gass Practice Group Leader T +1 (617) 248-4750 mgass@choate.com Mike Gass chairs Choate s Securities Litigation & Corporate Governance Group. Over his 30 year career Mike has developed a remarkably

More information

Outside Business Activities Reviews, Approval and Monitoring Wednesday, November 11 3:30 p.m. 4:30 p.m.

Outside Business Activities Reviews, Approval and Monitoring Wednesday, November 11 3:30 p.m. 4:30 p.m. Outside Business Activities Reviews, Approval and Monitoring Wednesday, November 11 3:30 p.m. 4:30 p.m. Join industry practitioners and FINRA staff as they cover the key requirements of the outside business

More information

Bankruptcy Law 9/16/2016. Visit the ABA Legal Career Central Job Board to:

Bankruptcy Law 9/16/2016. Visit the ABA Legal Career Central Job Board to: Legal Career Central Law Student Division Young Lawyers Division Bankruptcy Law Visit the ABA Legal Career Central Job Board to: Search and apply for more than 600 high quality legal jobs nationwide, Upload

More information

Building Wealth and Prosperity in the Communities We Call Home

Building Wealth and Prosperity in the Communities We Call Home Building Wealth and Prosperity in the Communities We Call Home Executive Summary EDA exclusively represents the equity capital market interests for the retail and institutional operations of middle market

More information

Rebecca L. Burke VICE PRESIDENT, NATIONAL ETF SALES

Rebecca L. Burke VICE PRESIDENT, NATIONAL ETF SALES Rebecca L. Burke VICE PRESIDENT, NATIONAL ETF SALES Rebecca L. Burke joined American Beacon Advisors in November 2016 as a vice president, National ETF Sales. Ms. Burke works in partnership with the American

More information

Merriann M. Panarella, Esq. Panarella Dispute Resolution Services P.O. Box Wellesley, MA

Merriann M. Panarella, Esq. Panarella Dispute Resolution Services P.O. Box Wellesley, MA Merriann M. Panarella, Esq. Panarella Dispute Resolution Services P.O. Box 812179 Wellesley, MA 02482 mpanarella@panarellaadr.com 508 653-2455 Dispute Resolution Services Dispute resolution services include

More information

U. S. Securities and Exchange Commission. Washington. D.C (202) FORMATION OF EMERGING MARKETS ADVISORY COMMITTEE

U. S. Securities and Exchange Commission. Washington. D.C (202) FORMATION OF EMERGING MARKETS ADVISORY COMMITTEE l@> U. S. Securities and Exchange Commission Washington. D.C. 20549 (202) 272-2650 [N] ~~ [Ri ~ @)~ FOR IMMEDIATE RELEASE #90-27 FORMATION OF EMERGING MARKETS ADVISORY COMMITTEE Washington, D.C., May 29,

More information

Elections to the Board of Directors

Elections to the Board of Directors Elections to the Board of Directors CV of Mr Hugh Scott-Barrett Hugh Scott-Barrett has been a member of the Board of Directors of GAM Holding AG since 2009 and was appointed chairman of the Board of Directors

More information

Theodore A. Schroeder. Focus Areas. Overview

Theodore A. Schroeder. Focus Areas. Overview Office Managing Shareholder EQT Plaza 625 Liberty Avenue, 26th Floor 15222 main: (412) 201-7600 direct: (412) 201-7624 fax: (412) 456-2377 tschroeder@littler.com 707 Virginia Street East Suite 1010 Charleston,

More information

Conference Schedule. 4. (10:00am) How to Market Yourself and Your Firm. 5. (11:30am) Guns and Society Lunch Address presented by Adam Gura.

Conference Schedule. 4. (10:00am) How to Market Yourself and Your Firm. 5. (11:30am) Guns and Society Lunch Address presented by Adam Gura. UTAH LITIGATION SECTION HOSTS THE Thursday Conference Schedule 1. (5:30pm) The cocktail Hour 2. (6:30pm) Dinner is Served 3. (7:00pm) The Hollow Hope: Can Courts Bring About Social Change? presented by

More information

Robert P. Thompson, Director of Communications and Marketing (work) (cell)

Robert P. Thompson, Director of Communications and Marketing (work) (cell) The IAALS Quality Judges Initiative benefits from the insight and dedication of many distinguished experts in the field, including supreme court justices, state governors, and other leaders in the legal

More information

Administrative Agencies and Administrative Law Judges

Administrative Agencies and Administrative Law Judges Administrative Agencies and Administrative Law Judges GO PREMIUM www.abaforlawstudents.com/gopremium For just $25 per year, ABA law student members can save on law school necessities and resources from

More information

Joseph Arellano Principal

Joseph Arellano Principal Principal Bank of America Financial Center 121 SW Morrison Street 11th Floor Portland, OR 97204-3141 T 503.553.3118 F 503.226.0259 jarellano@gsblaw.com Professional services clients rely on Joe s sound

More information

STEVEN E. CHESTER OF COUNSEL ONE DETROIT CENTER 500 WOODWARD AVENUE SUITE 2700 DETROIT, MI

STEVEN E. CHESTER OF COUNSEL ONE DETROIT CENTER 500 WOODWARD AVENUE SUITE 2700 DETROIT, MI STEVEN E. CHESTER Steven Chester, of counsel with Foley & Lardner LLP, has 28 years of both government and private practice experience in all aspects of environmental law and litigation. He is a member

More information

Mara H. Rogers, Partner Norton Rose Fulbright

Mara H. Rogers, Partner Norton Rose Fulbright Mara H. Rogers Partner Norton Rose Fulbright US LLP New York T:+1 212 318 3206 F:+1 212 318 3400 mara.rogers@nortonrosefulbright.com vcard (+Outlook) Related services Corporate, M&A and securities Mergers

More information

Claudia H. Allen. Partner Chicago. p Practices. Recognition. Education. Selected Experience

Claudia H. Allen. Partner Chicago. p Practices. Recognition. Education. Selected Experience Claudia H. Allen Partner claudia.allen@kattenlaw.com Chicago p +1.312.902.5432 Practices FOCUS: Governance Mergers and Acquisitions Recognition Best Lawyers in America, 2012 2017 The International Who's

More information

LCLD Sustainable Partnership Program Advisors Circle Advisor Biographies

LCLD Sustainable Partnership Program Advisors Circle Advisor Biographies LCLD Sustainable Partnership Program Advisors Circle Advisor Biographies Margaret Chase is Vice President and Deputy General Counsel at Fannie Mae, reporting to the Senior Vice President and Deputy General

More information

8/12/2016. Moderator Bio. Visit the ABA Legal Career Central Job Board to:

8/12/2016. Moderator Bio. Visit the ABA Legal Career Central Job Board to: Career Paths to the Bench August 12, 2016 1pm ET 1 Moderator Bio Christopher G. Browning, Jr. is the Chair of the Lawyers Conference of the ABA s Judicial Division. Chris is a partner with Troutman Sanders

More information

DANIEL LASTER. HARVARD LAW SCHOOL, Cambridge Massachusetts, Visiting Student

DANIEL LASTER. HARVARD LAW SCHOOL, Cambridge Massachusetts, Visiting Student EDUCATION DANIEL LASTER UNIVERSITY OF MICHIGAN LAW SCHOOL, Ann Arbor, Michigan, J.D. cum laude, May 1983. Honors and Activities: American Judicature Award, Legal Writing Environmental Law Society HARVARD

More information

DIRECTOR RECRUITING 8:30 AM. James Glerum, UBS Securities LLC. Charles King, Korn/Ferry International. Christine Marx, The St.

DIRECTOR RECRUITING 8:30 AM. James Glerum, UBS Securities LLC. Charles King, Korn/Ferry International. Christine Marx, The St. DIRECTOR RECRUITING 8:30 AM James Glerum, UBS Securities LLC Charles King, Korn/Ferry International Christine Marx, The St. Joe Company Kevin Robinson, Claymore Group, Inc. Adam Ross, NASDAQ Directors

More information

2017 Author Biographies

2017 Author Biographies 2017 Author Biographies Rouget F. (Ric) Henschel Chapter 1: The State of the Law of Claim Construction and Infringement Rouget F. (Ric) Henschel is a partner at Foley & Lardner LLP. He is a member of the

More information

Pamela S.C. Reynolds. Focus Areas. Overview

Pamela S.C. Reynolds. Focus Areas. Overview Associate 375 Woodcliff Drive 2nd Floor 14450 main: (585) 203-3400 direct: (585) 203-3415 fax: (585) 203-3414 preynolds@littler.com Focus Areas Discrimination and Harassment Wage and Hour ERISA and Benefit

More information

Dual Class Stock CLE Speaker Bios

Dual Class Stock CLE Speaker Bios Corporate Governance Committee Dual Class Stock CLE Speaker Bios The Honorable Myron T. Steele Chief Justice, Delaware Supreme Court Frederick H. Alexander Partner, Morris, Nichols, Arsht & Tunnell LLP

More information

The Complexities of Mixed Use

The Complexities of Mixed Use The Complexities of Mixed Use 2:30 pm 5:00 pm Thursday, October 15, 2015 Piper Auditorium, Gund Hall MDes Real Estate & the Built Environment Harvard University Graduate School of Design 48 Quincy Street,

More information

The Promise and Prospect of a new Fiduciary Environment

The Promise and Prospect of a new Fiduciary Environment YOUR GUIDE TO GLOBAL FIDUCIARY INSIGHTS The Promise and Prospect of a new Fiduciary Environment Blaine Aikin & Kristina Fausti Topics Proposals for a fiduciary standard Proposals for regulatory oversight

More information

Fenwick & West LLP Gordon K. Davidson Managing Partner What traits or attributes do you look for in an effective lawyer?

Fenwick & West LLP Gordon K. Davidson Managing Partner What traits or attributes do you look for in an effective lawyer? Fenwick & West LLP Gordon K. Davidson Managing Partner Gordon K. Davidson is the chairman of Fenwick & West LLP. He advises technology companies, including networking, computer software and electronics

More information

Newsroom: RWU Law Celebrates Commencement 2011!

Newsroom: RWU Law Celebrates Commencement 2011! Roger Williams University DOCS@RWU Life of the Law School (1993- ) Archives & Law School History 5-3-2011 Newsroom: RWU Law Celebrates Commencement 2011! Roger Williams University School of Law Follow

More information

Published by News Bites on May 3, Available on Westlaw.

Published by News Bites on May 3, Available on Westlaw. Published by News Bites on May 3, 2016. Available on Westlaw. https://1.next.westlaw.com/document/i2c41d52010d111e6b727c920d689b171/view/fulltext.ht ml?grading=na&originationcontext=search+result&transitiontype=alertsclip&contextdata=

More information

Certified Regulatory and Compliance Professional (CRCP) Lunch Monday, May 21 12:15 p.m. 1:15 p.m.

Certified Regulatory and Compliance Professional (CRCP) Lunch Monday, May 21 12:15 p.m. 1:15 p.m. Certified Regulatory and Compliance Professional (CRCP) Lunch Monday, May 21 12:15 p.m. 1:15 p.m. Speakers: Patricia Albrecht Senior Director FINRA Member Relations and Education James Angel Professor,

More information

ABCs of. Banking Law MARCH 22 ALSTON & BIRD. School of Law The University of North Carolina - Chapel Hill THE

ABCs of. Banking Law MARCH 22 ALSTON & BIRD. School of Law The University of North Carolina - Chapel Hill THE School of Law The University of North Carolina - Chapel Hill THE 2017 ABCs of Banking Law MARCH 22 ALSTON & BIRD Program Highlights Include: An Overview of Bank Regulatory Structure and Law Industry Structure,

More information

from your friends at Academy of International Business (AIB)-U.S. Midwest Chapter

from your friends at Academy of International Business (AIB)-U.S. Midwest Chapter from your friends at Academy of International Business (AIB)-U.S. Midwest Chapter 2019 Annual Meeting March 27-29, 2019 The Palmer House Hilton - Chicago, Illinois Call for Papers Submission Deadline:

More information

550 South Osceola Avenue Orlando, Florida

550 South Osceola Avenue Orlando, Florida JAMES BACCHUS 550 South Osceola Avenue Orlando, Florida 32801 407 310 3693 Public Service Founding Member and twice the Chairman of the Appellate Body of the World Trade Organization in Geneva, Switzerland,

More information

Author Biographies. Rouget F. (Ric) Henschel and Michael D. Kaminski Chapter 1: The State of the Law of Claim Construction and Infringement

Author Biographies. Rouget F. (Ric) Henschel and Michael D. Kaminski Chapter 1: The State of the Law of Claim Construction and Infringement Author Biographies Rouget F. (Ric) Henschel and Michael D. Kaminski Chapter 1: The State of the Law of Claim Construction and Infringement Rouget F. (Ric) Henschel is a partner at Foley & Lardner LLP.

More information

The Fortress Group at Morgan Stanley

The Fortress Group at Morgan Stanley The Fortress Group at Morgan Stanley 1 PENN PLAZA, 43RD FL NEW YORK, NY 10119 212-643-5781 / MAIN 800-223-4565 / TOLL-FREE 212-714-2546 / FAX http://www.morganstanleyfa.com/thefortressgroup lane.h.katz@ms.com

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C FORM 8-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date

More information

Phillip E. Griffin Partner and Chair Emeritus

Phillip E. Griffin Partner and Chair Emeritus Phillip E. Griffin Partner and Chair Emeritus Princeton, NJ Tel: 609.895.3334 Fax: 609.896.1469 pgriffin@foxrothschild.com Phil practices primarily in the areas of: tax, business, financial, and estate

More information

THE GOLDMAN SACHS GROUP, INC.

THE GOLDMAN SACHS GROUP, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event

More information

Election Notice. Notice of Election and Ballots for FINRA Small Firm NAC Member Seat. October 20, Ballots Due: November 20, 2017

Election Notice. Notice of Election and Ballots for FINRA Small Firm NAC Member Seat. October 20, Ballots Due: November 20, 2017 Election Notice Notice of Election and Ballots for FINRA Small Firm NAC Member Seat Ballots Due: November 20, 2017 October 20, 2017 Suggested Routing Executive Representatives Senior Management Executive

More information

2018 ABCs of. Banking Law MARCH 21 ALSTON & BIRD. School of Law The University of North Carolina - Chapel Hill THE

2018 ABCs of. Banking Law MARCH 21 ALSTON & BIRD. School of Law The University of North Carolina - Chapel Hill THE School of Law The University of North Carolina - Chapel Hill THE 2018 ABCs of Banking Law MARCH 21 ALSTON & BIRD Program Highlights Include: An Overview of Bank Regulatory Structure and Law Industry Structure,

More information

DIRECTORS EDUCATION PROGRAM

DIRECTORS EDUCATION PROGRAM DEP 71 MODULE III DIRECTORS EDUCATION PROGRAM FACULTY BIOGRAPHIES National Academic Director Richard C. Powers M.B.A. (Queen's University), L.LB. (Queen's University), ICD.D Profit Governance Essentials

More information

Andrea Joyce Wagner. Areas of Expertise

Andrea Joyce Wagner. Areas of Expertise Andrea Joyce Wagner Actively involved in the securities industry since the early 1980's. Former Executive Vice President, Director of Compliance, Member Executive Management Committee, Risk Management

More information

Election Notice. Notice of Election and Ballots for FINRA Small Firm NAC Member Seat. October 16, Ballots Due: November 15, 2018

Election Notice. Notice of Election and Ballots for FINRA Small Firm NAC Member Seat. October 16, Ballots Due: November 15, 2018 Election Notice Notice of Election and Ballots for FINRA Small Firm NAC Member Seat Ballots Due: November 15, 2018 October 16, 2018 Suggested Routing Executive Representatives Senior Management Executive

More information

Northwestern University School of Law, Senior Research Honors. Northwestern University, Departmental Honors Thesis

Northwestern University School of Law, Senior Research Honors. Northwestern University, Departmental Honors Thesis Karl D. Camillucci Professionals Holland & Knight http://www.hklaw.com/karl-camillucci/ Page 1 of 1 7/10/2015 Karl D. Camillucci Associate Chicago T 312.578.6597 karl.camillucci@hklaw.com Profile Publications

More information

ROGER MADISON Carriage Dr. S.W. Tel Suite A-103 Fax Profile

ROGER MADISON Carriage Dr. S.W. Tel Suite A-103 Fax Profile ROGER MADISON 2102 Carriage Dr. S.W. Tel. 360.539.4682 Suite A-103 Fax 360.915.9236 Olympia, Washington 98502 E-mail: Roger@MadisonLF.com Profile Proven attorney and general management executive with successes

More information

McNees Attorney Appointed to Pinnacle Health Auxiliary Board of Directors

McNees Attorney Appointed to Pinnacle Health Auxiliary Board of Directors McNees Attorney Appointed to Pinnacle Health Auxiliary Board of Directors Harrisburg, Pa. (December 26, 2017) McNees Wallace & Nurick LLC Attorney Alexandra Ableitner has been appointed to the Board of

More information

T F White Collar, Compliance and Investigations > Anti-Corruption Compliance and Investigations >

T F White Collar, Compliance and Investigations > Anti-Corruption Compliance and Investigations > Jeremy B. Zucker Partner Washington, D.C. 1900 K Street, NW, Washington, DC, United States of America 20006-1110 T +1 202 261 3322 F +1 202 261 3333 jeremy.zucker@dechert.com Practice Areas International

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C FORM 6-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C FORM 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13A-16 OR 15D-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month

More information

Regulatory Inspections, Examinations, Reviews and Compliance Practices Wednesday, December 2 2:00 p.m. 3:00 p.m.

Regulatory Inspections, Examinations, Reviews and Compliance Practices Wednesday, December 2 2:00 p.m. 3:00 p.m. Regulatory Inspections, Examinations, Reviews and Compliance Practices Wednesday, December 2 2:00 p.m. 3:00 p.m. FINRA staff discuss common deficiencies noted during FINRA cycle examinations, and identify

More information

AXALTA COATING SYSTEMS LTD.

AXALTA COATING SYSTEMS LTD. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event

More information

MANAGING DIRECTOR 360 MADISON AVENUE NEW YORK, NY

MANAGING DIRECTOR 360 MADISON AVENUE NEW YORK, NY Matthew Goldreich MANAGING DIRECTOR MGOLDREICH@CAINBROTHERS.COM 360 MADISON AVENUE NEW YORK, NY 10017 212.981.6946 Matt joined Cain Brothers in 1995 and is one of the longest tenured bankers at the firm.

More information

PRINCIPAL FINANCIAL GROUP, INC. (Exact name of registrant as specified in its charter)

PRINCIPAL FINANCIAL GROUP, INC. (Exact name of registrant as specified in its charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event

More information

David R. Bell. Edward C. Bernard. Barbara Bittick. Jerome A. Clark, CFA

David R. Bell. Edward C. Bernard. Barbara Bittick. Jerome A. Clark, CFA David R. Bell Dave Bell is a vice president of T. Rowe Price Group, Inc., and a vice president and senior retirement sales executive for T. Rowe Price Retirement Plan Services, Inc. Dave is responsible

More information

Investing in Digital Assets and Blockchain Technology. Thursday, August 3, 2017

Investing in Digital Assets and Blockchain Technology. Thursday, August 3, 2017 Investing in Digital Assets and Blockchain Technology Thursday, August 3, 2017 Disclaimer This information and any presentation accompanying it (the Content ) has been prepared by Schulte Roth & Zabel

More information

GORDON J. CAMPBELL 3 Peter Cooper Road, #12 C New York, New York

GORDON J. CAMPBELL 3 Peter Cooper Road, #12 C New York, New York GORDON J. CAMPBELL 3 Peter Cooper Road, #12 C New York, New York 10010 646.373.4524 EMPLOYMENT: 2012 Current Professor of Practice New York University Robert F. Wagner Graduate School of Public Service

More information

CANDIDATES FOR ELECTION TO THE 2018 COUNCIL

CANDIDATES FOR ELECTION TO THE 2018 COUNCIL Dr Eva YW Chan FCIS FCS(PE), FCPA, FCCA, MBA, DBA Dr Chan is the Head of Investor Relations of C C Land Holdings Limited (stock code: 1224). With more than 25 years experience as CFO and company secretary

More information

LEVERAGED BUYOUTS NEW BOOK! Save 20% by Joseph A. Bartlett, Peter L. Korn, II, David Mittelstadt, Cathy L. Reese and Michael Rueda

LEVERAGED BUYOUTS NEW BOOK! Save 20% by Joseph A. Bartlett, Peter L. Korn, II, David Mittelstadt, Cathy L. Reese and Michael Rueda Save 20% Use promo code 2111872 when ordering to receive your discount. NEW BOOK! LEVERAGED BUYOUTS by Joseph A. Bartlett, Peter L. Korn, II, David Mittelstadt, Cathy L. Reese and Michael Rueda 105 Madison

More information

Understanding the Fundamentals of the Employment Relationship:

Understanding the Fundamentals of the Employment Relationship: Understanding the Fundamentals of the Employment Relationship: A Four-Part Employment Law Course for Nonprofit Executives Sponsored by: Understanding the Fundamentals of The Employment Relationship: A

More information

JULIE ENGLAND DIRECTOR CHECKPOINT SYSTEMS, INC. (NYSE)

JULIE ENGLAND DIRECTOR CHECKPOINT SYSTEMS, INC. (NYSE) JULIE ENGLAND Ms. England is a member of the Board of Directors of Checkpoint Systems, Inc., Intelleflex Corporation and serves on the board of the Georgia O Keeffe Museum in Santa Fe, NM. Previously she

More information

Banking & securities accounting and reporting update

Banking & securities accounting and reporting update Banking & securities accounting and reporting update Tuesday, May 22, 2018 Agenda Subject to change Topic Time Speaker(s) Registration/lunch 12:30 p.m. 1:00 p.m. Welcome/introduction 1:00 p.m. 1:05 p.m.

More information

NICOLE A. GORDON. PREVIOUS The Marshall Project EMPLOYMENT Executive Director Apr. 1-Sept. 30, 2014

NICOLE A. GORDON. PREVIOUS The Marshall Project EMPLOYMENT Executive Director Apr. 1-Sept. 30, 2014 NICOLE A. GORDON 50 West 96 th Street Apt. 9A (646) 401-1919 New York, N.Y. 10025 nicolegordon12@gmail.com PROFILE Graduate School Faculty Director and Instructor and manager and lawyer at highest government

More information