• Description
    A comprehensive CLE course on securities, this presentation will review topics including: • How to Investigate, Detect and Prevent Fraud and Misappropriation • Mobile, Messaging & Beyond: Recent Trends in Social Media and Digital Communications • Recent Action in AML Enforcement • Clearing Firm Relationships • Independent Contractor Supervision • Outside Business Activities & Private Securities Transactions • Concerns Regarding Institutional Sales and Trading Compliance • Vendor and Outsourcing Management
  • Instructor Bio

    William St. Louis

    William St. Louis is the District Director of FINRA’s New York and Long Island offices and manages the sales practice examination and surveillance staff in those offices. Prior to assuming this role in June 2014, he was the Regional Enforcement Chief Counsel for FINRA’s North Region where he managed Enforcement staff in FINRA’s New Jersey, Boston, and Philadelphia offices. He joined the company in 1998 and spent several years in a variety of Enforcement roles in New York including service as a Deputy Regional Chief Counsel. Mr. St. Louis earned a B.A. from Baruch College and a law degree from New York University School of Law. Prior to law school he worked in the Compliance Department of a regional broker-dealer.

    James McHale

    James McHale is CCO for Wells Fargo Advisors (“WFA”) and leads the compliance function for Wells Fargo’s retail brokerage business. Mr. McHale sits on the WFA Operating Committee. Prior to joining WFA, he was the Global Head of Brokerage Compliance for E*TRADE Financial Corporation, where, among other responsibilities, he helped design and implement an enterprise compliance program consistent with the expectations of the federal banking regulators. Prior to E*TRADE, Mr. McHale served as Managing Director and Associate General Counsel with the Securities Industry and Financial Markets Association (SIFMA), where he led advocacy efforts on proposed rules and regulations issued by the SEC, CFTC and FINRA, including several Dodd Frank Act implementation initiatives. Earlier inhis career, Mr. McHale was associate general counsel with E*TRADE, an associate in the Securities Industry Practice Group of the law firm of Morgan, Lewis & Bockius and prior to that served as special counsel with the U.S. Securities and Exchange Commission’s Division of Trading and Markets. Mr. McHale holds a J.D. from the University of South Carolina School of Law and a bachelor’s degree from the University of South Carolina School of Business Administration.

    Sarah Green

    Sarah D. Green is Senior Director in the Enforcement Division at FINRA, specializing in anti-money laundering (AML) and other Bank Secrecy Act issues. She has responsibility for consulting with both examination and enforcement staff on AML and other issues, as well as training staff organization-wide on the handling of suspicious activity reports (SARs). Ms. Green is also responsible for FINRA AML policy issues and guidance and external training of financial industry professionals domestically and internationally. Previously, she was the Bank Secrecy Act Specialist in the Division of Enforcement’s Office of Market Intelligence (OMI) at the U. S. Securities and Exchange Commission (SEC). In this role, she oversaw the Commission’s review and use of SARs, consulted with Enforcement staff on antimony laundering and SAR handling issues, and facilitated information sharing between Enforcement and SEC’s Office of Compliance Inspections and Examinations (OCIE).

    Prior to joining OMI, Ms. Green was a Branch Chief in OCIE, managing the Commission’s AML examination program for brokerdealers, including developing examination modules, conducting training for SEC and self-regulatory organization (SRO) staff and coordinating with the SROs on all aspects of AML examination and enforcement. Ms. Green represents FINRA on the Bank Secrecy Act Advisory Group, which advises the Financial Crimes Enforcement Network and the Department of Treasury on anti-money laundering issues. She is a frequent speaker on AML, and regularly provides technical assistance to domestic and international audiences. Prior to joining the SEC, She was an associate in the Corporate and Securities practice group at Gardner Carton & Douglas LLP. Ms. Green received her J.D. from the William and Mary School of Law and her B.A. from Hamilton College.

    Amy Sochard

    Amy C. Sochard is the Senior Director in FINRA’s Advertising Regulation Department. The department protects investors by ensuring broker-dealer members of FINRA use advertisements and other sales communications that are fair, balanced and not misleading. Ms. Sochard leads the department’s investigative and targeted examination activities. She also serves as liaison to other FINRA departments involved in examinations, including the departments of Enforcement and Member Regulation. In addition, Ms. Sochard oversees staff dedicated to the routine review of advertisements and other sales communications filed with the department by broker-dealers. Ms. Sochard assists in the development of rules and interpretations for communications with the public and social media, and she routinely speaks at industry events on these topics. Prior to joining FINRA’s predecessor (NASD),

    Ms. Sochard worked with a real estate syndication firm in Washington, DC. She received a bachelor’s degree with distinction in English from the University of Virginia and studied poetry writing at Columbia University.

    Emily Gordy

    Emily P. Gordy is Executive Vice President, Deputy General Counsel at LPL Financial, with responsibility for regulatory affairs (Regulatory Inquiries & Investigations, Regulatory Counseling, and the Special Investigations Unit). Prior to joining LPL, Ms. Gordy was a partner at the law firm of Shulman Rogers. Ms. Gordy was a financial regulator for 27 years. As an SVP in FINRA’s Enforcement Department, she held a variety of positions, including Deputy/Home Office Enforcement and Head of Regional Enforcement. Prior to joining Enforcement, she advised the District Offices on legal and policy issues impacting the examination program. Prior to joining FINRA, Ms. Gordy spent 13 years with the SEC, primarily with Enforcement, Office of Chief Counsel. At the time of her departure, she was serving as Deputy Chief Counsel. Ms. Gordy is a graduate of the Washington College of Law / American University and Gettysburg College. She was selected as one of The National Law Journal’s 2015 Regulatory & Compliance Trailblazer honorees.

    Scott DeArmey

    R. Scott DeArmey is District Director of the Kansas City District Office of FINRA where he is responsible for regulatory oversight of FINRA member firms, branch offices, registered representatives and associated persons located in seven states throughout the Midwest: Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota. Mr. DeArmey began his FINRA career 27 years ago as an examiner in the Atlanta District Office and has participated in a variety of examinations and investigations involving brokerage firms and registered representatives. He has been in management positions for 20 years and has also been involved in various regulatory and educational initiatives including developing and teaching supervision courses at the FINRA Institute. He received his Finance degree from Georgia State University and is a graduate of FINRA’s Leadership Program at Wharton.

    David Glockner

    David Glockner joined the SEC in December 2013 as Regional Director for its Chicago office, which oversees the SEC’s examination and enforcement work in nine Midwestern states. He is active in cybersecurity issues for the SEC’s examination and enforcement programs at both the local and national levels, and serves as co-chair of the SEC’s Cybersecurity Working Group. Previously, he was the managing director in charge of the Chicago office of a global digital risk management and investigations firm. From 1987 to 2012, he served in the U.S. Attorney’s Office in Chicago, including 11 years as chief of the office’s criminal division. During his career as a federal prosecutor he led significant prosecutions involving securities and commodities fraud, public corruption, cybercrime, and national security. He was one of the office’s computer crime coordinators for more than 20 years and wrote the Justice Department’s principal reference manual on banking crimes. He is an adjunct professor at the University of Illinois College of Law, where he teaches a course on cybersecurity and the legal system.

    Angela Johnson

    Angela K. Johnson leads the Enterprise Information Security Group at Robert W. Baird & Co. Her team is responsible for driving a human-centered approach to protecting client data, firm data and assets. The team works in close partnership with all parts of the firm to allow associates to take advantage of new technology in compliance with the strict regulatory environment governing the financial services industry. Ms. Johnson brings a multi-disciplined approach to leading and executing a risk based information security program and strategy. Ms. Johnson is a Wisconsin native and received her BA in Criminal Justice, a MBA with specialization in Risk Management and is currently pursuing a Ph.D. focusing on Information Security. Ms. Johnson has worked in the Financial Services Industry for more than 13 years.

    Rebekah Powers

    Rebekah Powers is Senior Vice President and Chief Compliance Officer at Calton & Associates, Inc., an independent broker/dealer and investment adviser located in Tampa, Florida. In her role with Calton & Associates, Ms. Powers administers and oversees the compliance program for both the broker/dealer and the investment adviser, and manages the firm’s relationships with various regulatory bodies. She joined Calton in February 2017, after serving for nearly five years as the Director of Compliance with Summit Brokerage Services, Inc., a Cetera Financial Group firm located in Boca Raton, Florida. Ms. Powers has been in the securities industry since 2002, and has had experience in various aspects of the business from sales, to trading, to principal review. She made the transition into compliance in 2008, and since then has worked in various roles within compliance departments. Ms. Powers holds numerous industry licenses including the FINRA series 7, 24, 53, and 4, as well as the NASAA series 66. She has a Bachelor of Science degree in business administration from Miami University in Oxford, Ohio.

    Laura Blackston

    Laura Leigh Blackston is Senior Regional Counsel with FINRA’s Enforcement Department. Ms. Blackston joined FINRA as an attorney in 2002. 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 1992. She is also a member of FINRA’s Anti-Money Laundering Regulatory Expert Group and is Certified Anti-Money Laundering Specialist (CAMS).

    Elizabeth Baumann

    Elizabeth Paige Baumann has been the Senior Vice President and Chief Anti-Money Laundering Officer at Fidelity Investments since June 1, 2012. Ms. Baumann has oversight responsibility for the AML programs of Fidelity’s non-U.S. entities. She actively represents Fidelity from an AML perspective in various industry groups, including the Securities Industry and Financial Markets Association (SIFMA) and the Investment Company Institute (ICI). She has been a member of Fidelity's Enterprise Compliance Department since September 1999. Her first role was to support National Financial Services LLC's clearing business on a variety of compliance issues. Ms. Baumann has played a key role in the AML programs of all of Fidelity's U.S. financial institutions covered under the Bank Secrecy Act of 1970, as amended, and related regulations (collectively, the "BSA") since April of 2002. Ms. Baumann served as the co-chair of SIFMA's AML and Financial Crimes Committee January 2011 through December 2013. She also represented the ICI on several sub-committees of the Bank Secrecy Act Advisory Group (BSAAG), which consists of representatives from federal regulatory and law enforcement agencies, financial institutions, and trade groups with members subject to the BSA. Prior to Fidelity, Ms. Baumann worked at Charles Schwab in San Francisco for 6 years. She earned her J.D. from the Tulane School of Law and her B.A. from Trinity College in Hartford, Connecticut. Ms. Baumann is a member of both the California and Massachusetts bars.

    Jeffrey Horowitz

    Jeffrey Horowitz is Managing Director and Chief Compliance Officer for Pershing LLC, a BNY Mellon company, and is a member of BNY Mellon’s Risk and Compliance Operating Committee. Mr. Horowitz previously served as the Chief Anti-Money Laundering (AML) and OFAC Officer for Pershing, where he was responsible for the development and implementation of the firm’s global AML Program across the Pershing enterprise. Mr. Horowitz has represented Pershing as a securities industry representative to the U.S. Treasury Department’s Bank Secrecy Act Advisory Group (BSAAG) and was also a past co-chair of the Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering Committee. He has also served as the BSAAG co-chair of the Securities and Futures Subcommittee. Mr. Horowitz is an active member of the International Council of Securities Association group on AML and the Foreign Account Tax Compliance Act (FATCA), and serves on the Florida International Bankers Association AML Compliance Conference Advisory Committee as well the Association of Certified Anti- Money Laundering Specialists Annual AML & Financial Crime Conference Task Force. Mr. Horowitz currently represents Pershing on SIFMA’s Compliance and Regulatory Policy Committee. Prior to joining Pershing, Mr. Horowitz was a director and Head of AML Compliance for Citigroup’s Corporate and Investment Banking Division in North America. His responsibilities included the Institutional Sales and Trading Departments of Citigroup Global Markets Inc., Investment Banking, Global Relationship Banking and Global Transaction Services. Prior to joining Citigroup, Mr. Horowitz held several senior compliance roles at Lehman Brothers, Goldman Sachs and Salomon Brothers Inc. He began his career at the Federal Deposit Insurance Corporation (FDIC) in the Division of Resolutions. Mr. Horowitz earned a bachelor’s degree in economics from Trenton State College. He has also completed the Securities Industry Institute® program, sponsored by the Securities Industry and Financial Markets Association, at the Wharton School of the University of Pennsylvania.

    Mari Buechner

    Mari J. Buechner is President and Chief Executive Officer of Coordinated Capital Securities, Inc. (CCS). With more than 20 years of industry experience, Ms. Buechner has comprehensive executive management expertise in compliance, finance, marketing, operations, service and technology. In 2008, Ms. Buechner was elected to serve on the FINRA Board of Governors and is a past member of FINRA’s Small Firm Advisory Board and the FINRA District 8 Committee. Ms. Buechner currently serves on the FINRA Independent Dealer/Insurance Affiliate Committee and volunteers her time to work on various ad hoc committees and educational programs. She has been recognized as one of the “Top 50 Women in Wealth Management” (Wealth Manager, April 2009) and formerly served as Chairman of the Board for the Financial Services Institute. Ms. Buechner graduated from the University of Wisconsin-Madison with a bachelor’s degree in finance and marketing.

    Edward Sullivan

    Edward G. Sullivan is Executive Director in National Field Risk & Supervision at Morgan Stanley where he is focused on the development and implementation of controls for the Wealth Management field organization. Mr. Sullivan came to Morgan Stanley in October 2016 with almost 20 years of experience in a variety of roles, most recently with UBS where he was the Head of Field Compliance. Prior to joining UBS, he spent time as a Broker-Dealer consultant at KPMG, a sales practice examiner at the former NYSE, and began his career as a Financial Consultant with Merrill Lynch. Mr. Sullivan has presented at various industry education conferences including SIFMA and the FINRA Compliance Outreach Program for Broker-Dealers.

    Justin Triolo

    Justin Triolo is Associate District Director with FINRA’s District 10 New York office and has been with FINRA since April 2004. In his role, Mr. Triolo manages approximately 25 staff members, including Examination Managers and Examiners, who are responsible for conducting cycle and branch office examinations of member firms. Mr. Triolo started his career in Regulation as an Examiner with the Sales Practice Review Unit of NYSE Regulation. Prior to joining FINRA, Mr. Triolo was a Senior Analyst for Novations, and responsible for quality assurance testing, curriculum development and training for the Competitive Positions Group of the NYSE. Mr. Triolo has a Bachelor of Arts degree from Gettysburg College.

    Sheelagh Howett

    Sheelagh Howett is Chief Risk Officer at Cantella & Co., Inc. She is on the Board of Directors and shares leadership responsibility with the executive management team for overseeing the growth and success of the firm. She focuses on keeping clear and regular communication between business units and compliance within the firm. She strongly believes that risk is an enterprise-wide responsibility and has created a risk-aware culture including an understanding that risk prevention is everyone’s job. She continually works to further develop risk-management processes to identify, assess, and respond to the inevitable risks that face our industry. At the same time, she works to improve the efficiency and integration of existing processes into daily routines so they become ingrained in the firm's business. Ms. Howett is an active member of the Greater Boston Chamber of Commerce, the New England Broker/Dealer Investment Advisor Association, and the Women in Pensions Network. Originally from Ireland, Ms. Howett earned a BA in Banking and Finance at University College in Dublin. She holds FINRA Series 7 and 24 licenses.

    Nubiaa Shabaka

    Nubiaa Shabaka is an Executive Director at Morgan Stanley in New York City, where she serves as Chief Privacy and Data Protection Counsel, Cybersecurity Counsel and Social Media Counsel for the Americas. Prior to joining Morgan Stanley in January 2008, Ms. Shabaka was an associate in the Technology, Media, Communications and Intellectual Property Law Group in Proskauer Rose’s New York office. She earned a Bachelor of Arts, magna cum laude, from New York University in 2000 and a Juris Doctor degree from Harvard Law School in 2003. Ms. Shabaka additionally sits on the Privacy Committee and the Cybersecurity Committee of the Securities Industry and Financial Markets Association. She also serves on the Board of The Museum of Contemporary African Diasporan Arts.

    Lana Calton

    Lana Calton, Managing Director, serves as Hilltop Securities’ Head of Clearing Services, responsible for overseeing the firm’s correspondent broker-dealer and registered investment adviser relationships, as well as the growth of the firm’s correspondent base and the implementation of correspondent education and training on new policies and procedures. Mrs. Calton has been with the firm for 24 years, serving in a variety of areas including the Private Client Group, SWS Financial Services, and Equity Trading, before joining Clearing Services as a Relationship Manager in 1997. Prior to her current position, Mrs. Calton held various supervisory roles as an Assistant Supervisor, Manager of Clearing Services, SVP of Sales and SVP of Product Development. She currently is a board member of the Bond Dealers of America and is the Chair of the organization’s Small Firm’s Division. Mrs. Calton earned a Bachelor of Business Administration degree in Finance from Stephen F. Austin State University and is a graduate of the Securities Industry Institute at Wharton. She holds Series 7, 63 and 24 licenses.

    Robert Muh

    Robert A. Muh co-founded Sutter Securities Incorporated in 1992 where he is the Chief Executive Officer. Sutter is a San Francisco based broker-dealer specializing in private placements and providing expert testimony in securities related litigation or arbitration. Sutter has also been approved to operate an Alternative Trading System. Mr. Muh has Chaired FINRA’s Small Firm Advisory Board, served on the National Arbitration and Mediation Committee and as Chair of District 1 Committee. In September 2016, Mr. Muh was elected as a Small Firm Representative on the FINRA Board of Governors. Mr. Muh was a senior managing director with Bear Stearns & Co. where he managed the firm’s business activities in the Pacific Northwest. Prior to joining Bear Stearns, Mr. Muh was chairman of Newburger, Loeb & Co., Inc., a New York Stock Exchange member firm and a management consultant with McKinsey & Co. in New York. Mr. Muh has a bachelor's degree from the Massachusetts Institute of Technology and both an MBA and a Master of Philosophy degree from Columbia University. While at Columbia, Mr. Muh was an Adjunct Assistant Professor of Finance. Mr. Muh is currently an Adjunct Professor at the University of San Francisco Law School.

    Bridget McNamara-Fenesy

    Bridget McNamara-Fenesy is President and CEO of M Holdings Securities, Inc. (M Securities). Prior to this position, she was Vice President, Legal, Regulatory, and Governance Affairs for M Securities where she was responsible for risk, compliance, legal, and regulatory activities for the company. Ms. McNamara-Fenesy has been a part of the financial services industry for more than 30 years, including 15 years as an independent consultant, working with a variety of financial service firms, in such varied areas as strategic planning, new business development and implementation, regulatory issues, marketing strategies, and succession planning. Ms. McNamara-Fenesy earned her BA in Psychology from the University of Notre Dame, her JD from the University of Denver Sturm College of Law, and her Certified Employee Benefits Specialist (CEBS) certification from the Wharton School of Business.

    John Hagberg

    John Hagberg has been with Commonwealth since 2000 and currently serves as the Vice President of compliance for the firm. In this role, he oversees all aspects of the firm’s registration, branch examination, and advertising functions. Additionally he oversee the firm’s compliance consulting team, which serves as the front line resource for providing common sense compliance advice for advisors and internal staff on regulatory matters. Mr. Hagberg served on the FINRA committee responsible for developing the content for the operations professional examination and was previously a board member with Securities and Insurance Licensing Association (SILA). He is a graduate of Bates College, where he received his degree in environmental studies. He currently holds FINRA Series 4, 7, 24, 31, 53, and 66 securities registrations and his CRCP™ designation.

    Jacob Palmer

    Jake Palmer is currently Chief Operating Officer of SWBC Investments in San Antonio, Texas, and has more than 20 years of experience in the financial services industry. In this role, he is responsible for the direction and leadership of the firm's compliance, operations and fixed income departments. Mr. Palmer began his career in the financial services industry in 1992, selling investment products for USAA, a large insurance and financial services company based in San Antonio, Texas. He has held various management positions in the areas of sales, training and compliance. In 2007, Mr. Palmer joined the SWBC Investment Services team as the chief compliance officer before moving to his current role in 2013. Mr. Palmer is a past District Committee member of FINRA’s District 6 and has served on various non-profit boards, including the San Antonio Youth Centers.

    James Fiebelkorn

    James Fiebelkorn is a Vice President and the Global AML Officer for Ameriprise Financial Inc, where he leads the enterprise AML, Sanctions, Anti-Bribery and Anti-Fraud programs. Mr. Fiebelkorn is responsible for managing a global team across Ameriprise’s wealth management, trust, asset management, and insurance businesses. Prior to joining Ameriprise, Mr. Fiebelkorn was a Director and the AML Officer for Pershing LLC, a BNY Mellon company. He was responsible for the management of a global AML team, creating policy, enhancing surveillance systems and communicating with regulatory and law enforcement agencies. Prior to joining Pershing, Mr. Fiebelkorn was a Vice President for Lehman Brothers in the Financial Crimes Prevention and Intelligence Department where he managed a team that conducted enhanced due diligence on high-risk clients. Mr. Fiebelkorn is a participant in numerous industry associations and represents Ameriprise on the SIFMA Anti-Money Laundering and Financial Crimes Committee. Mr. Fiebelkorn holds a Master of Science degree from the University of Michigan and is a graduate of Colby College. He holds Series 7 and 24 licenses.

    Wendy Lanton

    Wendy Lanton has been working in the financial services industry for more than 20 years. She is one of the founding principals of Lantern Investments, a FINRA registered broker dealer, and Lantern Wealth Advisors, an SEC registered investment advisor. She has been the Chief Compliance Officer of Lantern Investments since its inception in 1993. The firm has multiple business lines and currently has 44 registered representatives and operates 13 branch offices across the country. Ms. Lanton is responsible for both the firm’s compliance and the day to day operations. In December 2015 she was appointed to the FINRA Small Firm Advisory Board. She also currently serves on the Steering Committee for her firm’s current clearing firm and was the co-chairperson on the steering committee at her previous clearing firm. As a steering committee member, her industry experience is called upon to help direct both compliance and technology resources. Ms. Lanton has also served as the chairperson for multiple Compliance Forums for retail brokerage firms. As a speaker/panelist at the FINRA 2014 Annual Conference her industry experience was called upon to discuss Anti-Money Laundering and Effective Risk-Based Examinations for small firms. She was also a speaker/panelist at the FINRA 2016 Annual Conference discussing Top Regulatory Concerns. In February 2016 Ms. Lanton served as a panelist representing small firms at the Cybersecurity Conference. She has written numerous compliance-centric articles focusing on topics ranging from client suitability to cyber-security. Ms. Lanton graduated from George Washington University where she majored in International Finance. Prior to becoming a founding member of Lantern Investments, she worked for a regional bank where she managed assets for high net worth individuals and medium sized businesses.

    Young Lee

    Young Lee is Senior Policy Advisor in the Office of Terrorist Financing and Financial Crimes at the U.S. Department of the Treasury, where he focuses on financial transparency regulation under the Bank Secrecy Act (BSA) and related authorities; anti-money laundering and countering the financing of terrorism in the securities, derivatives, insurance, and real estate sectors; foreign and domestic data privacy law; cybersecurity; and financial services for state-authorized marijuana businesses. In that role, he represented the Department in the U.S. delegation during negotiations in 2014 and 2015 of a law enforcement information sharing agreement between the U.S. and the European Union, which entered into force in February 2017. He also served a part-time detail in 2015 at the Department’s Financial Crimes Enforcement Network (FinCEN) to develop and draft the May 2016 Final Rule on Customer Due Diligence Obligations for Financial Institutions. Prior to joining the Treasury Department, he worked as an associate in private practice in New York City; as a law clerk to judges on the U.S. Court of Appeals for the Second Circuit, the U.S. District Court for the Southern District of New York, and the U.S. District Court for the District of Columbia; and on political campaigns in 2008 and 2012. He is a graduate of Harvard College and Columbia Law School, where he was Editor-in-Chief of the Columbia Law Review.