C&L Society Charlotte Regional Seminar 2019 | Securities Industry and Financial Markets Association (SIFMA) | 23 September 2019 | The Ritz-Carlton, Charlotte, 201 E Trade St, Charlotte, NC 28202, USA

The C&L Society Charlotte Regional Seminar gathers compliance and legal professionals working in the financial services industry to exchange ideas, strategies and guidance on ways to gain a competitive advantage in the increasingly complex and changing regulatory and compliance arenas.

2019 Speakers

Ilene Marquardt
Associate General Counsel, Wells Fargo Bank, N.A.

Ira D. Hammerman
Executive Vice President & General Counsel, SIFMA

The Honorable Hester M. Peirce
Commissioner, U.S. Securities and Exchange Commission

Jack Sena
Deputy General Counsel, Head of the Regulatory Inquiries Group, Bank of America

Richard Best
Regional Director of Atlanta Office, U.S. Securities and Exchange Commission

Matthew T. Martens
Partner, WilmerHale

Cece Baute Mavico
Senior Vice President & Associate Counsel, LPL Financial LLC

Lara Thyagarajan
Senior Vice President, Enforcement, Financial Industry Regulatory Authority (FINRA)

Jeff Coverdell
Assistant General Counsel, Wells Fargo

Kenneth Crowley
Executive Director, UBS Financial Services Inc.

Peter S. Fruin
Shareholder, Maynard, Cooper & Gale, P.C.

Andrea M. Greene
Principal, Bressler, Amery & Ross, P.C.

Stefanie M. Wayco
Partner, DLA Piper

Kristen Dugan
Compliance and Operational Risk Executive, Bank of America Merrill Lynch

Anitra T. Cassas
Partner, McGuireWoods LLP

Caroline Hall
Chief Compliance Officer and Deputy General Counsel, Janney Montgomery Scott

John O’Neill
Chief Compliance Officer, LPL Financial LLC

David M. Williams
Chief Compliance Officer, Retail Compliance & Senior Vice President, Wells Fargo Advisors

Douglas R. Edwards
Executive Vice President and Interim General Counsel, Wells Fargo

David C. Heaton
Associate General Counsel & Managing Director, Bank of America Corporation

John V. Ayanian
Partner, Morgan, Lewis & Bockius LLP

Katherine Ring
SVP, Advisory CCO and Head of Product & Platform Compliance, LPL Financial LLC

David Sparks
Senior Vice President & General Counsel, Raymond James Financial, Inc.

Corin R. Swift
Partner, Sidley Austin LLP

Katrina A. Carroll
Executive Vice President and Chief Anti-Money Laundering Officer, LPL Financial LLC

Charlie George
Senior Vice President, Group Financial Crimes Manager, Wells Fargo Bank

Autumn Hunter
Associate General Counsel & Director, Bank of America

Paul M. Tyrrell
Partner, Sidley Austin LLP

Kerry A. Zinn
Principal, Bressler, Amery & Ross, P.C.

Michelle Kelley
Senior Vice President & Associate General Counsel, LPL Financial LLC

Julie Bernard
Principal, Deloitte Risk and Financial Advisory, Deloitte & Touche LLP

Neil T. Bloomfield
Litigation, Financial Regulatory Advice and Response, Moore & Van Allen PLLC

Christine Frye
Senior Vice President and Chief Privacy Officer, Bank of America

Kevin Zerrusen
Senior Advisor to the Chairman, Cybersecurity Policy, U.S. Securities and Exchange Commission

Kenneth L. Miller
Deputy General Counsel, Bank of America

2019 Sponsors and Partners

GOLD SPONSORS:
• McGuireWoods
• Moore&VanAllen

SILVER SPONSOR:
• Consilio

STRATEGIC PARTNERS:
• AWS Financial Services
• Broadridge
• Deloitte
• EY
• FICO
• Fidelity Investment
• FIS
• Google Cloud
• Hearsay Systems
• IBM
• PwC