2018 SECURITIES INDUSTRY - Greensfelder...PRESENTED BY NOVEMBER 14, 2018 | ST. LOUIS, MISSOURI DONALD DANFORTH PLANT SCIENCE CENTER SCHEDULE AND SPEAKER GUIDE SECURITIES INDUSTRY 10

PRESENTED BY

NOVEMBER 14, 2018 | ST. LOUIS, MISSOURI

DONALD DANFORTH PLANT SCIENCE CENTER

SCHEDULE AND SPEAKER GUIDE

SECURITIES INDUSTRY SYMPOSIUM10

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SCHEDULE OF EVENTS

12:45 – 12:55 p.m. Welcome and Opening RemarksThe Bar Association of Metropolitan St. Louis (BAMSL)

12:55 – 1:45 p.m. Panel: Regulatory Update

Moderator: Harris Kay, Offi cer, Greensfelder, Hemker & Gale, P.C.

Panelists:

Hasan Ibrahim, Chief Legal Offi cer and Vice President, Prudential Advisors

Kim Reilly, Assistant General Counsel, Raymond James Financial

Ed Wegener, Senior Vice President, Midwest Regional Director, FINRA

Michael Wells, Senior Special Counsel, Securities and Exchange Commission, Offi ce of Compliance Inspections and Examinations – Chicago

1:45 – 2:35 p.m. Panel: Confl icts of Interest

Moderator: Donald McBride, Offi cer, Greensfelder, Hemker & Gale, P.C.

Panelists:Daniel Bosch, Principal and Director of Compliance

Resolution, Edward Jones

Amanda Demas, Vice President, Senior Counsel, BMO Harris Wealth Management

Robert Lavigne, Managing Director – Compliance Solutions, Bates Group

Tanya Solov, Director, Illinois Securities Department

SCHEDULE OF EVENTS

2:35 – 3:00 p.m. Break

3:00 – 4:00 p.m. Panel: Ethical Issues in Investigations

Moderator: Dennis Capriglione, Senior Counsel, Wells Fargo Advisors

Panelists:John Ivan, Managing Director – Regulatory and Compliance,

Capital Forensics

Jane Matoesian, Senior Vice President & Managing Counsel, Benjamin F. Edwards & Company

Seth Miller, General Counsel – Senior VP, Risk Management, Chief Risk Offi cer, Cambridge Investment Research, Inc.

Jessica Newman, Corporate Counsel, Hilliard Lyons

4:00 – 4:20 p.m. Break

4:20 – 5:10 p.m. Interview with Robert Cook FINRA President & CEO

Interviewer: Andrew Hartnett, Offi cer, Greensfelder, Hemker & Gale, P.C.

5:10 – 5:15 p.m. Closing Remarks Greensfelder, Hemker & Gale, P.C.

5:15 – 6:30 p.m. Reception

ABOUT THE SPEAKERS

Daniel Bosch | Edward Jones

Daniel Bosch is director of the Compliance Program Management and leads the overall performance of compliance risk management and the non-systems project management functions within the Compliance division.

He joined Edward Jones in 2000 as a Field Supervision director and moved to Compliance Resolution as a compliance investigator

in 2005. He served as the director of Compliance Investigation from 2007 until 2013, when he assumed his current role. Mr. Bosch was named a principal with the firm in 2013.

He entered the financial services industry in 1994 and served as a registered representative with First Financial Planners and Walnut Street Securities. He later worked as a regional annuity wholesaler for Manulife Financial, providing vendor support for banks and independent brokerage firms in the Mid-Atlantic states.

Dennis Capriglione | Wells Fargo Advisors

Dennis Capriglione is currently Senior Counsel in the Wells Fargo Legal Department, Litigation, Regulatory Enforcement and Investigations Division. He previously served as a Senior Compliance Manager for the Sales Practice Group within the Complaints Resolution Group at Wells Fargo Advisors. Before joining Wells Fargo, he was an Associate General Counsel at

Edward Jones, where he managed litigation and directly represented the firm and its employees in FINRA arbitrations and regulatory matters. He was formerly employed by A.G. Edwards/Wachovia as Senior Litigation Counsel, and by Metlife/Walnut Street Securities as Counsel. He worked for a number of years in private practice before becoming in-house counsel. He has also served as both a FINRA arbitrator and mediator.

Mr. Capriglione is past President of the Bar Association of Metropolitan St. Louis and the St. Louis Bar Foundation. He also served in the ABA House of Delegates and on the Missouri Bar Board of Governors.

ABOUT THE SPEAKERS

Robert Cook | FINRA

Robert W. Cook is President and CEO of FINRA and Chairman of the FINRA Investor Education Foundation. From 2010 to 2013, Mr. Cook served as Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division’s professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities exchanges

and markets, clearing agencies and FINRA. In addition, the Division reviewed and acted on proposed rule filings and new product listings from self-regulatory organizations, including the securities exchanges and FINRA, and was responsible for implementing a range of initiatives and studies generated by the Dodd-Frank and JOBS Acts. He also directed the staff’s review of equity market structure.

Immediately prior to joining FINRA, and before his service at the SEC, Mr. Cook was a partner based in the Washington, D.C., office of an international law firm. His practice focused on the regulation of securities markets and market intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies. During his years of private practice, Mr. Cook worked extensively on broker-dealer regulation, advising large and small firms on a wide range of compliance matters.

Mr. Cook earned his J.D. from Harvard Law School in 1992, a Master of Science in Industrial Relations and Personnel Management from the London School of Economics in 1989, and an A.B. in Social Studies from Harvard College in 1988.

Amanda Demas | BMO Harris Wealth Management

Amanda Demas is Vice President and Senior Counsel for BMO Harris Wealth Management. She is responsible for all the legal affairs of BMO Harris Financial Advisors and BMO Harris Investment Distributors. BMO Harris Financial Advisors is a U.S. retail broker-dealer, registered investment advisory, and insurance broker, and BMO Investment Distributors is a U.S. limited broker-

dealer responsible for distributing the BMO mutual funds. Both entities are divisions of the Bank of Montreal. Prior to BMO, Ms. Demas was Assistant General Counsel for Chase Wealth Management.

ABOUT THE SPEAKERS

Hasan Ibrahim | Prudential Advisors

Hasan Ibrahim is Vice President and Chief Legal Officer for Prudential Advisors. Mr. Ibrahim is responsible for handling a full range of legal matters that arise in connection with the operation of the retail broker-dealer firm, including the provision of counsel to the business’ senior management across multiple businesses. Concurrently, he acts as Prudential’s liaison with all

state securities enforcement agencies. Previously, Mr. Ibrahim was a Regulatory Counsel in the Law Department of The Prudential Insurance Company of America. He provided oversight of significant regulatory matters for all lines of business and Corporate Center functions with respect to state, federal and international issues. His responsibilities included legal coverage of regulatory matters and investigations involving the Department of Justice (DOJ), the Securities and Exchange Commission (SEC), and the Financial Industry Regulatory Authority (FINRA) as well as other federal and state government agencies. He also trained, advised and conducted internal investigations of potential securities laws violations, including insider trading, financial reporting violations, broker-dealer supervisory matters, whistleblower rules and regulations, the Foreign Corrupt Practices Act as well as other anti-corruption and anti-bribery laws.

Mr. Ibrahim holds an LL.M. in International Legal Studies from NYU Law and earned his J.D. from the Seton Hall University School of Law. He earned his undergraduate degree from Rutgers University.

Andrew Hartnett | Greensfelder, Hemker & Gale, P.C.

Andrew Hartnett draws on his experience as the Missouri Commissioner of Securities to give clients an insider’s view of the regulations facing the securities industry. He has had extensive involvement in matters related to data security and has spoken across the country on topics including state securities regulations, cybersecurity and protection for senior investors.

Mr. Hartnett served as Commissioner of Securities for Missouri Secretary of State Jason Kander from 2013 to 2016. As Commissioner, he directed the Missouri Securities Division and heard cases filed by the Enforcement Section of the Division. Before his appointment as Commissioner of Securities, Mr. Hartnett served as Chief of Staff to then-Missouri Attorney General Chris Koster and was an Assistant Attorney General in the office’s Consumer Protection Division, handling all aspects of consumer protection, antitrust and securities investigations and litigation.

ABOUT THE SPEAKERS

Harris Kay | Greensfelder, Hemker & Gale, P.C.

Harris Kay counsels financial services firms and individuals regarding a variety of registration, compliance, regulatory and litigation matters. He represents futures commission merchants, introducing brokers, broker-dealers, forex firms, investment advisers, commodity pool operators and commodity trading advisors in regulatory inquiries, investigations and enforcement

proceedings before CFTC, SEC, FINRA, NFA and various exchanges.

Mr. Kay regularly defends participants in the securities and futures industries in federal and state court litigation and in CFTC reparations proceedings, as well as in arbitration before FINRA and NFA.

Mr. Kay was previously a partner in the financial services practice group in the Chicago office of a large international law firm. He also previously served as an adjunct professor at the University of Richmond and has written and presented on numerous litigation and regulatory issues.

John Ivan | Capital Forensics

John Ivan serves as the Managing Director – Regulatory and Compliance at Capital Forensics, Inc.

Mr. Ivan is an accomplished securities counsel and compliance professional and has experience leading legal and compliance functions for financial institutions with a focus on regulatory affairs, wealth management and full-service retail brokerage.

Before joining Capital Forensics, he served as SVP Chief Compliance Officer at Raymond James and as a Managing Director and Compliance Executive at Bank of America Merrill Lynch.

Mr. Ivan earned his J.D. from the University of Richmond and is an active member of the Securities Industry and Financial Markets Association (SIFMA).

ABOUT THE SPEAKERS

Jane Matoesian | Benjamin F. Edwards & Company

Jane Matoesian is Senior Vice President & Managing Counsel with Benjamin F. Edwards & Company in St. Louis, where she is responsible for guidance of the firm’s legal matters. She has been in the industry for more than 27 years, beginning with the Law Department of A.G. Edwards & Sons. Her practice has included representing and counseling clients in civil litigation, regulatory

matters, internal investigations, compliance, and general corporate affairs. She is a graduate of the University of Notre Dame and received her J.D. from Southern Methodist University School of Law, and served as Law Clerk to the Honorable Joseph H. Goldenhersh of the Illinois Supreme Court. Ms. Matoesian is active in industry groups and has served as a member of and speaker for various industry organizations, including FINRA, the SIFMA Law & Compliance Division, and the St. Louis Securities Symposium.

Robert Lavigne | Bates Group

Robert “Bob” Lavigne is Managing Director of Bates Group’s Compliance Solutions, where he draws on nearly 20 years of experience with investment adviser, broker/dealer firms, and trust companies in compliance, risk management, financial regulations, ethics and operations. Mr. Lavigne is an experienced compliance professional with a regulatory background and an established record of creating and supervising exceptional

compliance and supervision systems.

While at PricewaterhouseCoopers, Mr. Lavigne worked with investment companies, broker-dealers, banks, insurance companies and trust companies to develop compliance and operational processes, as well as to perform specific reviews of these entities around trading activities, supervisory requirements, and annual compliance reviews. He has experience supporting investment advisors and registering new affiliated broker-dealers.

Prior to joining PwC, Mr. Lavigne was the Chief Compliance Officer of a registered investment adviser and broker-dealer where he was in charge of all aspects of compliance, risk management, forensic and annual testing and anti-money laundering. He was also a senior examiner at the Boston district office of FINRA. In this role, Mr. Lavigne worked on investigations and examinations of registered broker/dealers and fund distributors.

ABOUT THE SPEAKERS

Donald McBride | Greensfelder, Hemker & Gale, P.C.

Don McBride is an Officer at Greensfelder, Hemker & Gale, P.C. In his securities law practice, he represents broker-dealers, RIAs, and individual investment professionals in private party litigation and before the SEC, FINRA, and state regulators. His experience includes defending against class actions, claims arising from firms’ reliance on instructions by customer fiduciaries, suitability and

churning claims in FINRA arbitrations based on the sale of stocks, bonds, annuities, and other investment products, enforcing pre-dispute arbitration agreements, and filing local or multi-state interpleaders and obtaining the attorneys’ fees incurred with such actions. Mr. McBride also assists clients with registration and reporting issues, and complying with federal, state, and FINRA requirements on privacy, record retention, escheatment, sub-advisory due diligence, customer communications, and other compliance issues.

Seth Miller | Cambridge Investment Research

Seth Miller serves as General Counsel, Senior VP of Risk Management and Chief Risk Officer at Cambridge Investment Research, Inc.

Mr. Miller has worked for Cambridge since 2008, managing all internal and external legal affairs along with overseeing Cambridge’s enterprise approach to risk management.

His responsibilities include executive oversight of the Legal, Compliance, Risk Assessment and Advocacy and Supervision Departments. Prior to joining Cambridge, he was an attorney with the international law firm Shook, Hardy & Bacon L.L.P. Mr. Miller received a B.S. in Finance and Management from Iowa State University and a J.D. from the University of Iowa College of Law. He currently holds FINRA Series 7, 24 and 66 licenses and is admitted to the Iowa and Missouri state bars.

ABOUT THE SPEAKERS

Kim Reilly | Raymond James Financial

Kim Reilly is an Assistant General Counsel at Raymond James Financial. She represents the fi rm and its associates in regulatory matters before FINRA, the SEC, and state regulators. She also conducts internal investigations of matters having a regulatory component. A graduate of Fordham University School of Law and the College of William and Mary, Ms. Reilly practiced at law fi rms

in New York City before joining Raymond James in 2015. She has over 15 years of experience in industry-related regulatory, litigation, and FINRA arbitration matters.

Jessica Newman | Hilliard Lyons

Jessica Newman serves as Corporate Counsel for Hilliard Lyons in Louisville, Kentucky, where she represents the fi rm in FINRA arbitration cases, manages state and federal court litigation, and provides advice for all departments when unique situations arise. Before joining Hilliard Lyons, Ms. Newman served as in-house counsel for Forcht Bank, N.A., in Lexington, Kentucky, and spent several years in private practice representing fi nancial institutions

of all sizes in state and federal courts.

Ms. Newman currently serves on the Board of Directors for the Kentucky chapter of the Association of Corporate Counsel, is Vice Chair of the Corporate Counsel Section of the Kentucky Bar Association, and is a past Chair of the KBA’s Bankruptcy Section. She holds her Series 7 license and hopes to have her Series 66 soon. Ms. Newman attended Eastern Kentucky University and the University of Kentucky College of Law.

Tanya Solov | Illinois Securities Department

Tanya Solov has served as the Director of the Illinois Securities Department since her appointment to the position by Secretary of State Jesse White in 1999. She was previously a senior attorney and an Assistant Director for Enforcement at the Department. Prior to her work in securities, Ms. Solov was an Illinois Assistant Attorney General practicing trial and appellate work in state and

federal courts. She lives in Chicago and is active in NASAA and the Illinois State Bar Association Business and Securities Committee.

ABOUT THE SPEAKERS

Ed Wegener | FINRA

Ed Wegener is Senior Vice President and Midwest Regional Director for the Financial Industry Regulatory Authority (FINRA). In that role, Mr. Wegener is responsible for leading the Department of Member Regulation’s regulatory efforts for the region including its surveillance and examination programs. He started with FINRA in 1998. Since that time, he has led or been involved in

several signifi cant fraud, sales practice and fi nancial and operational examinations and investigations. Mr. Wegener has served in a leadership role in a number of key strategic initiatives for the organization including the design and implementation of FINRA’s risk-based examination program, cybersecurity program and efforts related to digital assets.

Mr. Wegener is a graduate of Illinois State University and he has a Certifi ed Regulatory and Compliance Professional designation from the FINRA Institute at the Wharton School of the University of Pennsylvania. He is also a Certifi ed Anti-Money Laundering Specialist. He has completed the FINRA Leadership Program at the Wharton School and the Leadership Development Program at the Center for Creative Leadership.

Michael Wells | Securities and Exchange Commission

Michael Wells is Senior Special Counsel for the U.S. Securities and Exchange Commission’s Chicago Regional Offi ce’s BDX Examination Program. The BDX Examination Program supports the Commission’s Offi ce of Compliance Inspections and Examinations by examining broker-dealers, exchanges, municipal advisors,

and transfer agents. Mr. Wells joined the Commission in 2008 after spending approximately seven years in private practice at two international law fi rms and as a law clerk to a federal district judge. Before joining the BDX Examination Program, he worked in the Commission’s Division of Enforcement as Senior Counsel in the Complex Financial Instruments Unit.

Mr. Wells received his law degree from the University of Notre Dame and his Bachelor of Arts from Truman State University.