Choose a state below and click "Add To Cart"
Price: $81
  • Description
    With a focus on securities, this CLE presentation will offer a comprehensive overview of the most recent developments including compliance ethics, legal issues related to hiring and supervising registered representatives in retail and how small firms can strengthen their cybersecurity practices.
  • Instructor Bio

    Lisa Roth

    Lisa Roth is a registered principal with Keystone Capital Corporation; a FINRA member firm headquartered in San Diego, CA. Ms. Roth holds FINRA Series 4, 7, 24, 53 and 65 licenses. Ms. Roth is also the President of Monahan & Roth, LLC, a professional consulting firm offering regulatory compliance consulting, expert witness and litigation support services. Previously, Ms. Roth was the founder and CEO of ComplianceMAX Financial Corp., a regulatory compliance company offering technology and consulting services to more than 1,000 broker-dealers and investment advisers. Ms. Roth’s leadership at CMAX led to the development of audit and compliance workflow technologies now in use by some of the United States largest (and smallest) broker-dealers and investment advisers. Ms. Roth has also served in various executive capacities with Royal Alliance Associates, First Affiliated Securities, and other brokerage and advisory firms. Ms. Roth has served on the FINRA Small Firm Advisory Board, including one year as its chair. She is the past chairman of the National Association of Independent Broker-Dealer (NAIBD), and has served on the Board of the Third Party Marketers’ Association. Ms. Roth has recently completed a two-year term as a member of the PCAOB Standing Advisory Group. She is an active participant in industry forums, including FINRA committees and trade associations. Ms. Roth is a frequent speaker at industry and regulatory conferences, and serves on ad hoc committees as necessary to promote a culture of continuous improvement for compliance and operations among investment services firms. Ms. Roth resides in CA, but is a native of Pennsylvania, where she attained a bachelor’s degree and was awarded the History Prize from Moravian College.

    Thomas Drogan

    Thomas Drogan has been with FINRA for over 18 years. Prior to the merger between NYSE Regulation and NASD, he spent four years in the Financial/Operational Department in the NYSE’s Division of Member Firm Regulation before moving to the NYSE’s Sales Practice Review Unit as a Senior Examiner in 2001. After promotions to various levels of examiner, Mr. Drogan was named Examination Director in May 2004 where he was responsible for the scheduling, planning and supervision of examinations, as well as the education and training of staff. In January 2008, following the merger, Mr. Drogan was promoted to Deputy Director in FINRA’s New York office where he served until December 2008 when he was appointed Deputy Director of FINRA’s Long Island office. In January 2013, Mr. Drogan was promoted to Vice President and in December 2013 was promoted to District Director for FINRA’s New York Office where he was responsible for overall operations of the office, including the management of the examination and surveillance programs, staffing and administration. In May of 2014, Mr. Drogan was appointed as the Deputy of Sales Practice and in February 2016 was named Senior Vice President. In this role, Mr. Drogan oversees the regulatory operations of the national examination and surveillance program and manages key operational and strategic initiatives. Mr. Drogan received his Finance degree from St. John’s University and his J.D. from Brooklyn Law School.

    Norm Ashkenas

    Norm Ashkenas is Senior Vice President, CCO for Fidelity Brokerage Services, running Broker/Dealer and Insurance compliance for Fidelity Investments’ retail and retirement business. He has been with Fidelity since 2003 in various compliance leadership roles, including field, product and regulatory, internal controls and ASL covering B/D, IA, ERISA/Tax and TA issues. He has also been CCO for Fidelity Distributors Corporation and Fidelity Personal Trust. Previously, Mr. Ashkenas spent 10 years with Prudential Securities as SVP for Regulatory & Compliance Examinations, and VP/Associate General Counsel. Prior to that, he was a litigation attorney with Chemical Bank. He is on the FINRA District 11 Committee and Membership Committee, has served on the Regulatory Advisory Committee, and is on the Board of Directors for NSCP and chair of the NSCP Broker/Dealer Committee. Mr. Ashkenas has spoken frequently at industry conferences such as the FINRA Annual Conference, SIFMA Compliance & Legal Division Annual Seminar and NSCP National & Regional Meetings. He earned a BA from Northwestern University and JD from Fordham Law School, and holds Series 7, 14, 24 & 63.

    Jeff Levine

    Jeff Levine is the general counsel of Mesirow Financial. Mesirow Financial is a diversified financial company with a myriad of investment management, broker-dealer and insurance business lines. In this position, Mr. Levine is responsible for Mesirow Financial’s global legal activities and policies including its overall compliance with applicable regulatory organizations such as the Financial Industry Regulatory Authority, U.S. Securities and Exchange Commission (SEC), Commodities Futures Trading Commission, National Futures Association and various other foreign and state agencies. Prior to joining Mesirow Financial, he was an attorney advisor in the regulation division of the SEC, where he was responsible for the compliance of registered entities with federal securities regulations and self-regulatory agency rules. He also was assigned to the Enforcement Division of the SEC. Prior to his tenure at the SEC, Mr. Levine was an Assistant Cook County State’s Attorney. Mr. Levine holds a juris doctor degree from DePaul University College of Law and a Bachelor of Arts degree from Northwestern University. He holds multiple securities licenses, passed the U.K.’s Principal of Financial Regulations and has earned the designation of Chartered Alternative Investment Analyst program. Mr. Levine also serves on FINRA’s District Committee and its series 14 test writing committee.

    Jeffrey Williams

    Jeffrey B Williams is the Vice President and Chief Compliance Officer (CCO) for Northwestern Mutual Investment Services, LLC, a SEC registered Broker Dealer and Investment Advisor, and a subsidiary of The Northwestern Mutual Life Insurance Company. The primary products offered by the firm through its 6,000 registered representatives are mutual funds, variable annuities, bonds and exchange traded products. Mr. Williams joined The Northwestern Mutual Life Insurance Company in 1991 as the corporate Risk Manager. In 2006 he became the CCO for Northwestern Mutual Investment Services. In his capacity as the CCO, Mr. Williams is responsible for the firm’s compliance program, including its policies, supervisory procedures and monitoring controls. Mr. Williams received a B.S. degree in Business Administration from the University of Illinois (Champaign) in 1977.

    Thomas Selman

    Thomas M. Selman, CFA is Executive Vice President, Regulatory Policy, and Legal Compliance Officer of FINRA. He oversees the departments of Corporate Financing, Advertising Regulation, Regulatory Policy, the Legal Compliance Office, and the Office of Emerging Regulatory Issues. Tom joined the organization in 1996. Mr. Selman also holds the Chartered Financial Analyst ® designation. From 1992 to 1996, Mr. Selman was Associate Counsel at the Investment Company Institute, a trade association for the mutual fund industry. Prior to that time, he served as Special Counsel in the Office of General Counsel at the United States Securities and Exchange Commission, a position he held beginning in 1987. Tom was an Attorney-Advisor to the European Union in Brussels, Belgium, from 1986 to 1987. In addition to his career accomplishments, Mr. Selman has authored articles that were published in Investment Lawyer, The International Lawyer and Insights. Mr. Selman received bachelor's degrees in economics and history from Rice University, and a Doctor of Jurisprudence degree from The University of Texas School of Law, where he was Associate Editor of the Texas Law Review.

    Allan Goldstein

    Allan Goldstein is CFO, COO and CCO of Trade Informatics, and is responsible for all compliance and regulatory matters as well as day-to-day operational and financial management of the firm. Mr. Goldstein has worked in the securities industry since 1985, when he began as a Specialist Trading Assistant on the NYSE trading floor. He later operated as an independent floor broker at the NYSE serving as CCO, CFO and FINOP with the floor based “Direct Access” institutional brokerage Safir Securities. Mr. Goldstein has additional experience as an Institutional Sales Trader in global equities and fixed income with Friemark Blair & Co., Chief Compliance Officer at Bear Hunter Structured Products, and Compliance Officer at Bear Wagner Specialists, as part of a team designing its electronic market making business on the Archipelago Exchange. Mr. Goldstein earned his bachelor degree and MBA in Finance and Statistics from the Stern School of Business at New York University.

    Michael Solomon

    Michael Solomon joined FINRA in December 2011 as Senior Vice President and is the Senior Regional Director of FINRA's New York, Philadelphia, Boston and Woodbridge-NJ District Offices. Mr. Solomon has responsibility for the Examination and Surveillance Programs in the region. Prior to his tenure at FINRA, he served as a managing director and general counsel for litigation, regulatory and employment law at Jefferies & Co. Prior to joining Jefferies, Mr. Solomon managed the Regulatory Group at UBS Financial Services from 2004 to 2006. Before that, he managed the Regulatory Examinations and Inquiries Group at Merrill Lynch from 1999 to 2004, and has also served as an associate at Morgan, Lewis & Bockius, trial counsel in the NYSE Enforcement Division and NY County assistant district attorney. Mr. Solomon received his law degree in 1989 from New York University School of Law and received a bachelor’s degree from Wesleyan University.

    Dave Kelley

    Dave Kelley is the Surveillance Director based out of their Kansas City District office, and has been with FINRA for more than five years. Mr. Kelley also leads FINRA’s Regulatory Specialist team for Cyber Security, IT Controls and Privacy. Prior to joining FINRA, he worked for more than 19 years at American Century Investments in various positions, including Chief Privacy Officer, Director of IT Audit and Director of Electronic Commerce Controls. He led the development of website controls, including customer application security, ethical hacking programs and application controls. Mr. Kelley is a CPA and Certified Internal Auditor, and previously held the Series 7 and 24 licenses.

    Susan Schroeder

    Susan Schroeder is the Deputy Chief of FINRA’s Department of Enforcement, responsible for Enforcement’s home office in New York. Prior to joining FINRA, she was a partner in WilmerHale’s Securities Litigation and Enforcement practice, where she specialized in SEC, FINRA, and state enforcement actions. She began her legal career as a litigation associate at Kirkland & Ellis. She received her J.D. from NYU School of Law, her M.A. from the University of California at Davis, and her B.A. from Georgetown University. She is a member of the New York bar.

    Julie Glynn

    Julie Glynn joined JP Morgan Chase in 2011 and is currently the General Counsel of Chase Wealth Management. She previously worked in the Government Investigation and Regulatory Enforcement Group and as Deputy Chief Legal Officer for JP Morgan Securities, LLC and JP Morgan Clearing Corporation. Prior to working at JP Morgan Chase she worked for FINRA Enforcement, Morgan Stanley and Morrison & Foerster.

    Jessica Hopper

    Jessica Hopper is FINRA’s Senior Vice President of Regional Enforcement, responsible for the Department of Enforcement’s attorneys and professionals in 15 District Offices throughout the country. She oversees the nationwide disciplinary proceedings that regional Enforcement brings against broker-dealers and registered representatives for violations of FINRA’s rules. She joined FINRA Enforcement in 2004 and served as a Director in FINRA’s Washington D.C. home office until 2011. Prior to joining FINRA, from 2000 to 2004 she was a member of the Legal & Compliance Department of Legg Mason Wood Walker, Inc.’s, where her responsibilities focused on retail sales compliance issues. Earlier in her career, she was an associate at a law firm and an editor in legal publishing.

    Christopher Kelly

    Christopher Kelly serves as the Regional Chief Counsel for the North Region of FINRA’s Enforcement Department. As Regional Chief Counsel, Mr. Kelly oversees the work of the Enforcement Staff in the Boston, New Jersey, and Philadelphia District Offices. Prior to joining FINRA, Mr. Kelly served as Deputy Chief of the Criminal Division at the U.S. Attorney’s Office for the District of New Jersey. In that role, Mr. Kelly supervised more than 35 Assistant U.S. Attorneys in the Office’s white collar units: Economic Crimes, National Security, Healthcare and Government Fraud, and Cybercrime. Prior to his promotion to the position of Deputy Chief, Mr. Kelly served as the Chief of the Economic Crimes Unit at the U.S. Attorney’s Office, where he oversaw the Office’s prosecution of complex economic crimes, including crimes involving insider trading, securities fraud, tax evasion, bank fraud, corporate fraud and embezzlement. Mr. Kelly also served as the lead prosecutor on several complex matters, including U.S. v. Tiger Asia, one of the first ever criminal prosecutions of a hedge fund. Mr. Kelly graduated from Duke University and Harvard Law School. Prior to joining the U.S. Attorney’s Office, he was an associate at the law firm Dechert LLP. Mr. Kelly also clerked for the Honorable Joseph E. Irenas, U.S. District Court Judge for the District of New Jersey.

    Daniel Nathan

    Daniel Nathan, a partner at Morvillo LLP, uses his deep enforcement and regulatory experience to represent U.S. and international financial institutions and individuals before financial regulators. With a combined 26 years as a senior enforcement official with the SEC, CFTC and FINRA, three of the country's leading regulatory and enforcement authorities, he is a particularly effective advocate for those facing investigations and/or enforcement action by those regulators. Mr. Nathan’s intimate knowledge of broker-dealer regulation provides clients facing SEC and FINRA examinations and enforcement investigations with detailed guidance and counsel related to broker-dealer supervisory procedures, sales practices, research, anti-money laundering, product disclosure and supervision, and securities and broker registration. He also represents clients in SEC investigations involving financial reporting and insider trading, among other things. His extensive experience includes representing clients in enforcement matters involving the JOBS Act, Dodd-Frank Act, ETFs, and the EB-5 Visa program. He also provides regulatory advice in those areas, and he has led extensive projects to help foreign banks establish programs for complying with the Volcker Rule. On the derivatives side, he has represented energy companies and traders and other market participants in CFTC and derivatives SRO investigations. And Mr. Nathan draws on his extensive investigation experience to conduct internal investigations for companies who suspect, or are suspected of, wrongdoing by their employees. Previously, Mr. Nathan served as the Vice President and Regional Enforcement Director of FINRA. During his five-year tenure, he oversaw 70 lawyers across 15 offices responsible for bringing up to 900 disciplinary actions annually against broker-dealer firms, registered representatives, and associated persons. This included many of FINRA’s most significant nationwide enforcement actions, including actions and sweeps involving mutual fund breakpoints, structured products sales practices and supervision, disclosure and supervision, private placement due diligence and disclosure, mutual fund prospectus delivery, and anti-money laundering procedures. Mr. Nathan also closely collaborated with FINRA’s Member Regulation examination staff. In his 12 years at the SEC, Mr. Nathan served as Assistant Director in the Division of Enforcement, where he supervised federal securities investigations of insider trading, market manipulation, financial fraud and accounting misconduct. In nine years with the CFTC, he served as Deputy Director of Enforcement, with responsibility for oversight of the agency’s Enforcement Division. He also created the CFTC’s Office of Cooperative Enforcement, which dramatically expanded the joint enforcement efforts between the CFTC, the Department of Justice, the SEC, and state authorities. In those roles at the CFTC, Mr. Nathan focused on market manipulation, trade practices, commodity trading advisor practices, and foreign exchange dealer practices. Mr. Nathan speaks and writes frequently on a wide range of topics concerning financial institutions and enforcement. He is a co-Chair of the ABA SEC Enforcement Subcommittee of the Securities Litigation Committee, and a member of the Editorial Advisory Board for the Journal of Investment Compliance.

    Paul Tolley

    Paul Tolley has been Chief Compliance Officer at Commonwealth Financial Network since August 2006. As CCO, he is responsible for establishing, administering, and enforcing Commonwealth’s broker/dealer and investment adviser supervisory and compliance policies and procedures. He is also responsible for the general management and leadership of the firm’s Compliance and Licensing staff. Mr. Tolley has more than 25 years of compliance experience and a strong background in broker/dealer and investment adviser compliance best practices. Prior to joining Commonwealth, he was first vice president and CCO for National Planning Holdings where he oversaw compliance for the four independent broker/dealers within the NPH broker/dealer network. He has also held senior compliance positions at Cambridge Investment Research and LPL Financial. Mr. Tolley previously served as chair of the Financial Services Institute’s Compliance Council and is a past member of FINRA’s Continuing Education Committee. He is a current member of FINRA’s Membership, District 11, and Regulatory Advisory committees and the National Society of Compliance Professionals. He earned his BS in business administration from Northeastern University and holds FINRA Series 4, 7, 24, 53, 63, and 65 securities registrations.

    David Yacono

    David Yacono is Senior Director of Cyber & Information Security at FINRA. His current responsibilities include FINRA’s software security program, which provides security assurance services to a portfolio of more than 100 internally developed systems, as well as FINRA’s third-party risk management program which evaluates, monitors, and manages the cybersecurity risk posed by FINRA’s vendors, cloud providers, and other third-party relationships. Mr. Yacono is also responsible for FINRA’s IT Security Risk Management and Compliance programs, which ensures compliance with IT security standards including FISMA, PCI-DSS, and FBI-CJIS. Since joining FINRA in 1999 he has served in various roles responsible for ensuring the secure and reliable operation of FINRA’s information technology systems, including security architect and security engineer. Mr. Yacono specializes in the application of information security processes, methodologies, and tools to protect the confidentiality, integrity, and availability of information and information processing systems, with special emphasis on financial services; he has nearly 25 years of experience in cybersecurity. Mr.Yacono earned a Bachelor of Science in Electrical Engineering from the University of Maryland, and holds current certifications as a Certified Information Systems Security Professional (CISSP), a Certified Secure Software Lifecycle Professional (CSSLP), and a Certified Third Party Risk Management Professional (CTPRP).
  • Available In