Lecturer Bios
John Saxton, Esq.
John Saxton is Senior Director in FINRA’s Division of Market Regulation. He joined
FINRA/New York Stock Exchange in 1997 and currently leads the Trading and
Execution Fixed Income Examination team. This specialized team is responsible for
conducting trading and execution reviews in fixed income securities within FIRNA’s
cycle examination program.
Prior to his current role, Mr. Saxton was a Senior Director
in FINRA’s Division of Market Regulation supervising several surveillance teams and
was a Trial Counsel in NYSE’s Division of Enforcement. Mr. Saxton earned his J.D.
from New York Law School and a B.S. in Business Administration from St. Michael’s
College.
Vivian Altman
As Managing Director, Head of Public Finance at Janney, Vivian Altman is responsible for overseeing the Firm’s public finance business, with a focus on banking, strategic planning, coordinating execution with underwriting and sales, and expanding the group’s presence across a number of key markets.
Vivian has worked as an investment banker in the public finance industry for over 35 years. She has had a managing role in structuring and preparing issues for the market, financing general government projects, economic development projects, port facilities, toll roads, transit properties, health care institutions, solid waste facilities, water and waterwaste authorities, and student loan bond issues. Since joining the firm in 2009, she has been responsible for about $148 billion in managed issuance.
Prior to Janney, Vivian served the Township of Edison, NJ as President and CEO of the Economic Development Council and Redevelopment Agency. Before that, she spent time at JPMorgan Chase as a team leader for the firm's work on behalf of New Jersey and Connecticut, as well as transportation issuers. Her background also includes ownership of her own financial advisory firm, Altman & Co., serving a wide range of clients including state and local governments and authorities.
Nominated by Governor Whitman, Vivian served on the Board of the New Jersey Educational Facilities Authority from 1993-2010, which she chaired for the final 10 years. She also served as a member of the New Jersey Transportation Trust Fund Authority and on the Board of the CARES Foundation, a support and advocacy organization for families affected by the genetic disease Congenital Adrenal Hyperplasia. She is a founding member and Co-President of the Northeast Women in Public Finance and was named a “Trailblazing Woman in Public Finance” by The Bond Buyer in 2011.
Vivian earned an M.A. in Economics from the University of Pennsylvania and a B.A. in Economics from Barnard University. She holds the Series 7, Series 50, Series 53, Series 54, and Series 63 licenses.
Ernesto A. Lanza
Ernesto A. Lanza is Chief Regulatory and Policy Officer of the Municipal Securities Rulemaking Board (MSRB). He leads the Market Regulation Department, which is responsible for MSRB rulemaking activities, professional qualifications program, and regulatory coordination and enforcement support to the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority and federal banking regulators. He also provides strategic insight and counsel on regulatory policy matters.
Ernie previously served in private practice representing market participants on municipal bond, 529 college savings plan and related regulatory, transactional, policy, examination, and enforcement matters. Prior to that, he served as acting director of the SEC’s Office of Municipal Securities as well as with the MSRB as its former deputy executive director and chief legal officer, leading the initial design, development and launch of the EMMA website.
Ernie received a BA from Harvard University and JD from the University of Pennsylvania Law School.
