Lecturer Bios
Minh Q. Le
Minh Q. Le is Director of FINRA’s Corporate Financing Department. He has more
than 20 years of experience in the regulation of public and private offerings.
Currently, Mr. Le manages the department’s Private Placement Review program
which conducts regulatory oversight of broker-dealer participation in retail private
offerings.
In addition to overseeing the review and investigation program, Mr. Le’s
duties include developing policy and providing guidance on corporate financing and
other capital-raising related issues. Mr. Le also routinely provides subject matter
expertise to FINRA’s Examination and Enforcement staffs.
Building on this
experience, Mr. Le serves as a member on FINRA’s Regulatory Specialist committees for Public
Offerings, Private Placements, and Non-traded Direct Participation Programs (DPP) and Real Estate
Investment Trusts (REIT), and was a member of FINRA’s Risk Assessment Committee.
For the past 19
years, he has been a member of FINRA’s Sales Rep and DPP/REIT Qualifications Committees. Prior to
his involvement in developing FINRA’s private placement rules and the filing program, Mr. Le was a
manager in the department’s Public Offerings Review program, which is responsible for regulating
underwriting terms and arrangements in public offerings. Mr. Le graduated from the University of
Maryland, attended the Wharton Institute of Executive Education, and is a Certified Regulatory and
Compliance Professional (CRCP)®.
Sharon Alexander
Sharon Alexander is Senior Principal Analyst in the Risk Monitoring Department of Member Supervision and
is responsible surveilling and assessing member firm risk. She joined FINRA in 2011 as a Senior Examiner
in Member Supervision, after an eight-year career in public and corporate accounting.
Ms. Alexander received
her bachelor’s degree in Accounting and Management Information Systems from Florida International
University. She is also a Certified Fraud Examiner and a Certified Anti-Money Laundering Specialist.
KC Waldron
KC Waldron is the Chief Compliance Officer at Empower. Her team manages all compliance matters for the firm’s businesses which include wealth management, retirement plan administration, asset management, stock plan services, and insurance.
Prior to joining Empower, she was with the Charles Schwab Corporation for twelve years in both legal and compliance roles including head of wealth management compliance; head of compliance for all client-facing businesses; global head of regulatory strategy; and legal counsel to the custody and trading business for third party investment advisors. Before joining Schwab, she was an Enforcement Attorney for the U.S. Securities and Exchange Commission in the San Francisco Regional Office.
Prior to that, she was a securities litigation attorney with Morrison & Foerster LLP. She graduated from the University of Texas School of Law, and from Texas A&M University (Accounting).
Stephen Berkeley
Prior to joining Loop Capital in 2008, Mr. Berkeley spent 9 years in private legal practice representing broker-dealers and investment advisors in arbitrations, regulatory investigations and on general compliance matters. Mr. Berkeley started his career as an enforcement attorney with the Securities Division of the Arizona Corporation Commission where he investigated and prosecuted securities enforcement actions against broker-dealers and investment advisors.
He is a licensed attorney in Illinois and Arizona and holds 7, 24, 53, 63, 79 and 87 licenses and currently serves on the FINRA Midwest Regional Committee. Mr. Berkeley earned his Juris Doctorate from Chicago-Kent College of Law and earned a Bachelors of Arts from Hamilton College.
