Lecturer Bios
Yvette Q. Panetta
Yvette Q. Panetta is the Deputy Director in FINRA’s Florida District Office located in Boca Raton, Florida where she is primarily responsible for the Member Regulation Examination Program and FINRA’s Securities Helpline for seniors. Ms. Panetta responsibilities include managing the Sales Practice Examination Program, the Cause Examination Program, and the Surveillance Program. She is also actively involved in several initiatives related to current industry topics. Prior to joining FINRA, Ms. Panetta served as an examination manager with the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations located in New York. Ms. Panetta received her undergraduate and graduate degrees from Baruch College, The City University of New York where she graduated with honors. Ms. Panetta also holds the title of Certified Public Accountant from the American Institute of Certified Public Accountants.
Christopher Majeski
Chris Majeski is Managing Director, Global Wealth and Investment Compliance Executive for Merrill Edge, Merrill Lynch Wealth Management, Wealth Management Banking, and Bank of America / Merrill Lynch, Pierce, Fenner & Smith. In this capacity, he oversees a team that is central to reinforcing a strong risk management culture and leading the overall compliance framework for each business unit. With more than 20 years experience, Mr. Majeski has served in a number of capacities in financial services across the globe. Prior to assuming his current role in 2010, he was based in Singapore as the regional compliance executive for the Pacific Rim Wealth Management and Corporate Banking – Treasury Services lines of business, and also provided overall country coverage for S.E. Asia. Prior to that, he was based in the U.S. as internal audit executive for ML’s U.S. Banks and Global Corporate Credit & Commitments. In London, he served as internal audit executive for Europe, Middle East, and Africa Wealth Management and ML’s International Banks. Prior to joining ML in 1999, he was with Deloitte&Touche and PriceWaterhouseCoopers covering financial services. He received his Bachelor of Science in Accounting from Rider University.
Mary Shea Tucker
Mary Shea Tucker is Manager of the Wells Fargo Advisors Elder Client Initiatives (ECI) Team, located in St. Louis, Missouri. The ECI Team, which includes paralegals, operations specialists and a Master of Social Work graduate, provides guidance and support to Financial Advisors and supervisors in cases where there are concerns about client incapacity and elder/vulnerable adult abuse. The ECI Team is also responsible for determining when to submit reports of suspected elder/vulnerable adult abuse to adult protective services agencies, securities commissioners and law enforcement in all 50 states and U.S. Territories. Ms. Tucker has been with Wells Fargo for 13 years. Prior to that, she lived in Salt Lake City, where she was senior associate general counsel for the University of Utah and then associate general counsel for the Salt Lake City 2002 Olympic Winter Games. Ms. Tucker is on the board of the National Committee for the Prevention of Elder Abuse and is on the Financial Exploitation Advisory Board for the National Adult Protective Services Association. She is admitted to practice law in New York, Utah and Missouri. She has a B.A. in English from Yale and a J.D. from the New York University School of Law.