FINRA Firm Grouping Member Forum: Capital Markets and Investment Banking 2021 | FINRA | 5 October 2021 | Virtual Event

Venue
Virtual Event

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Event Date Tue Oct 5 EDT (about 3 years ago)
Location Virtual Event
Region All
Details

FINRA Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on-one with FINRA Risk Monitoring Analysts, Directors, and Single Points of Accountability (SPoA) to discuss firm-specific questions.

Speakers

2021 Speakers

Bo Kim
FINRA Member Supervision

Tyler Kane
FINRA Office of Financial and Operational Risk Policy

Richard (Rich) Harmon
FINRA Member Supervision

Keith Bettencourt
FINRA Member Supervision

George Malley
FINRA Member Supervision

Patricia (Pat) Dorilio
FINRA Member Supervision

James Murphy
FINRA Member Supervision

Michael Mailes
FINRA Member Supervision

Steven Brooks
FINRA Member Supervision

Roberta Devorsky
FINRA Member Supervision

Henry (Hank) Kugaczewski
FINRA Member Supervision

Elliot Henslovitz
FINRA Member Supervision

Robert (Rob) Sulik
FINRA Member Supervision

Laura Trotz
FINRA Member Supervision

MODERATORS:

Thomas (Tom) Mellett
FINRA Member Supervision

Leyna Goro
FINRA Member Supervision

Amy Sochard
FINRA Advertising Regulation

Ann Duguid
FINRA Office of Financial and Operational Risk Policy

David (Dave) Kelley
FINRA Member Supervision

PANELISTS:

Catherine Dunn
FINRA Member Supervision

Stacie Jungling
FINRA Member Supervision

Matthew (Matt) Reyburn
FINRA Member Supervision

Patricia (Pat) Dorilio
FINRA Member Supervision

Kayla Martin
FINRA Member Supervision

Robert (Rob) Schmidt
FINRA Member Supervision

Ira Gluck
FINRA Advertising Regulation

Minh Le
FINRA Corporate Financing

Alif Dhanidina
FINRA Member Supervision

Pamela Moy
FINRA Member Supervision

Anthony Vinci
FINRA Office of Financial and Operational Risk Policy

Keith Bettencourt
FINRA Member Supervision

Robert (Rob) Gnoinski
FINRA Member Supervision

Heather Watson
FINRA Member Supervision

William (Bill) St. Louis
FINRA Member Supervision