FINRA Small Firm Conference 2017 | Financial Industry Regulatory Authority | 8 November 2017 | Fairmont Miramar Hotel, 101 Wilshire Boulevard Santa Monica, CA 90401
Venue
Fairmont Miramar Hotel
Fairmont Miramar Hotel, 101 Wilshire Boulevard Santa Monica, CA 90401
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| Event Date | Wed Nov 8 EST - Thu Nov 9 EST (about 7 years ago) |
| Location |
Fairmont Miramar Hotel
101 Wilshire Boulevard Santa Monica, CA 90401 |
| Region | Americas |
Details
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm issues with FINRA senior staff.
Speakers
PANELIST:
Stephen Kohn
Stephen A Kohn & Associates, Ltd.
Wendy Lanton
Lantern Investments, Inc.
Stephen Mack
Mack Investment Services, Inc.
Betsy Brennen
Harbor Investment Advisory, LLC
Shawn McLaughlin
McLaughlin Ryder Investments, Inc.
John Parmigiani
Allied Millennial Partners, LLC
Mari Buechner
Coordinated Capital Securities, Inc.
Joseph Romano
Romano Brothers & Co.
Lisa Roth
Tessera Capital Partners, LLC
Sara Hanks
CrowdCheck, Inc.
John Hullar
W.R. Hambrecht, Co.
Paige Pierce
Larimer Capital Corporation
Joanne Salisbury
E.K. Riley Investments, LLC
Harry Striplin
Umpqua Investments, Inc
MODERATOR:
Donald Lopezi
FINRA West Region
John Veator
FINRA Member Relations and Education
Thomas Selman
FINRA Office of Regulatory Analysis
Joseph Price
FINRA Corporate Financing/Advertising Regulation
Lance Burkett
FINRA Denver District Office
Gregory Dean
FINRA Office of Government Affairs
David Greene
FINRA Los Angeles District Office
Sponsors & Partners
2017 Sponsor
•Finra