C&L Society St. Louis Regional Seminar 2019 | Securities Industry and Financial Markets Association (SIFMA) | 18 June 2019 | Edward Jones Conference Center, 130 Edward Jones Blvd, Maryland Heights, MO 63043, USA
Venue
Edward Jones Conference Center
Edward Jones Conference Center, 130 Edward Jones Blvd, Maryland Heights, MO 63043, USA
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| Event Date | Tue Jun 18 EDT (over 5 years ago) |
| Location |
Edward Jones Conference Center
130 Edward Jones Blvd, Maryland Heights, MO 63043, USA |
| Region | Americas |
Details
The C&L Society St. Louis 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.
Speakers
2019 Speakers
Rich Link
Chief Compliance Officer, Edward D. Jones & Co., L.P.
Edward Wegener
Senior Vice President and Midwest Regional Director, Financial Industry Regulatory Authority (FINRA)
Andrew M. Hartnett
Officer, Greensfelder, Hemker & Gale, P.C.
James Browning
Deputy General Counsel, Stifel, Nicolaus & Co., Inc.
Shea Hicks
Managing Counsel, Wells Fargo & Co.
Edward Wegener
Senior Vice President and Midwest Regional Director, Financial Industry Regulatory Authority (FINRA)
Kerry A. Zinn
Principal, Bressler, Amery & Ross, P.C.
David C. Prince
General Counsel and Chief Compliance Officer, Stephens Investment Management Group, LLC
Daneen Downey
Deputy General Counsel & Chief Legal Counsel to Janney Capital Management LLC, Janney Montgomery Scott LLC
Christopher Lewis
General Counsel, Edward D. Jones & Co., L.P.
Yoon-Young Lee
Partner, WilmerHale
David M. Minnick
Commissioner of Securities, Missouri Secretary of State
Ira D. Hammerman
Executive Vice President & General Counsel, SIFMA
David Jonson
Senior Vice President and Head of Litigation and Arbitration, LPL Financial Holdings Inc.
Mai Klaassen
VP, Associate General Counsel, Charles Schwab & Co., Inc
Christopher Lazarini
Member, Bass, Berry & Sims PLC
Jane Matoesian
Senior Vice President and Managing Counsel, Benjamin F. Edwards & Co.
Gianluca Morello
Associate General Counsel, Raymond James Financial, Inc.
Kelly Zigaitis
MD, Retail Supervision and Controls, TD Ameritrade
Hank Sanchez, Esq.
Managing Director, Bates Group, LLC
Rick Sheehan
Sr. Manager, CAS Compliance, RBC Wealth Management
Kiran V. Somashekara
Partner, McGuireWoods LLP
Scott Weindel
Director, Field Supervision, Edward D. Jones & Co., L.P.
Aseel Rabie
Managing Director, Associate General Counsel, SIFMA
Michael Chien
Associate General Counsel, Stifel
David Knight
Executive Vice President & General Counsel, Stephens, Inc., Seminar Co-Chairperson
Satish M. Kini
Partner, Debevoise & Plimpton LLP
Thor Nelson
Director of AML and Anti-Fraud, Ameriprise Financial, Inc.
Gilbert Santos
Vice President, Anti-Money Laundering Officer, Pershing LLC, a BNY Mellon Company
Sponsors & Partners
2019 Sponsors and Partners
GOLD:
• McGuire Woods
• Moore & Van Allen
SILVER:
• Bressler Ameryross
SPONSORS:
• Bass Berry Sims
• GreenbergTraurig
• Greensfelder
SIFMA'S STRATEGIC PARTNERS:
• Broadridge
• Deloitte
• EY
• Fidelity Clearing & Custody Solutions
• FIS
• Hearsay
• PWC
• TATA