Scott Kloin, Esq.
Scott Kloin is Managing Director, Chief Compliance Officer & Senior Deputy General
Counsel for Citadel Securities, a market maker in a broad array of equities and fixed
income products. In this role, Mr. Kloin is responsible for leading the firm’s compliance
program and for promoting a culture of compliance and high integrity throughout the
firm. Mr. Kloin and his team advise on all aspects of the laws, rules, regulations and
best practices pertaining to sales, trading, quantitative research, technology, controls,
and operations involving equities, listed options, futures, FX, US Treasuries, swaps.
Prior to joining Citadel Securities in 2012, Mr. Kloin was Executive Director, Head of
U.S. Equities Compliance of UBS Investment Bank, a full-service institutional equities
broker-dealer and retail market maker.
Prior to joining UBS, he was Vice President & Assistant General
Counsel of JPMorgan Securities and an Associate in the financial services practice group of the law firm of
Kelley Drye & Warren LLP. He earned a B.S. in Finance from the University of Maryland—College Park and
a J.D. from the University of Miami and is a member of the New York and Connecticut Bars. He formerly
chaired FINRA’s Market Regulation Committee.
Racquel Russell, Esq.
Racquel Russell is Senior Vice President and Director of Capital Markets in FINRA’s
Office of General Counsel (OGC). In this role, Ms. Russell oversees the Capital
Markets Office as it develops new policy initiatives, provides counsel to the
Department of Market Regulation and Transparency Services, and supports the fixed
income examinations of the Member Supervision Department. She also provides
expert guidance to the FINRA Board of Governors and senior management.
Ms. Russell joined OGC in 2008 and previously served as an Associate General
CounsFel and an Assistant General Counsel. Prior to joining FINRA, Ms. Russell was
a Vice President in the Legal and Compliance Department at J.P. Morgan, London,
UK. She also worked in a variety of legal roles at the U.S. Securities and Exchange Commission, including
as a Branch Chief for Trading Practices in the Division of Trading and Markets.
Ms. Russell earned a B.A.
in Psychology from Canisius College and J.D. and M.B.A. degrees from the State University of New York at
Buffalo, School of Law and School of Management
Richard G. Wallace
Richard G. Wallace is Senior Vice President and Assistant General Counsel at LPL
Financial LLC, a registered broker-dealer and investment advisor. He provides legal
advice on trading and operational issues. Previously Mr. Wallace was a Vice
President at FINRA where he oversaw the department’s legal group, handling
enforcement and policy issues.
He also worked in the Enforcement Division of the
U.S. Securities and Exchange Commission in Washington, D.C. As a partner at
Foley & Lardner LLC, Mr. Wallace represented brokerage firms on market structure