FINRA Senior Investor Protection Conference 2023 | FINRA | 27 March 2023 | Washington D.C., 1201 24th St NW, Washington, DC 20037, USA

This event event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and vulnerable investors from exploitation, scams, and other questionable practices. This conference includes discussions of the rules on financial exploitation of specified adults, a regulatory roundtable, information about trends, scams and schemes, and more. The conference also offers opportunities to network and discuss issues specific to senior investors with FINRA staff and industry practitioners.

2023 Speakers

William St. Louis
FINRA, Member Supervision

MODERATORS:

Gary Mottola
FINRA, FINRA Foundation

James Wrona
FINRA, Office of General Counsel

Michael Paskin
FINRA, Member Supervision

Alicia Goldin
FINRA, Office of General Counsel

Brooks Brown
FINRA, Member Supervision

Brooke Hickman
FINRA, Member Supervision

PANELISTS:

Paige Pierce
Bley Investment Group, Inc.

Eli Renshaw
FINRA, Member Supervision

Joel H. Sauer
Charles Schwab & Co., Inc.

Amy Nofziger
AARP Fraud Watch Network

Mayur Patel
FINRA, Member Supervision

Elizabeth Yoka
FINRA, Member Supervision

Dori Hammond
FSC Securities Corporation

Trinity Lee
Heim, Young & Associates

Lois Griesman
Federal Trade Commission

Rebecca Keithley
Federal Bureau of Investigation

Rich Szuch
North American Securities Administrators Association (NASAA)

Mike Duff
Edward Jones

Thomas Mierswa
Morgan Stanley

Jennifer Szaro
XML Financial Group

Olivia Mitchell
The Wharton School, University of Pennsylvania

Peter Lichtenberg
Wayne State University

Christopher Stewart
Indiana University