Small Firm Conference 2022 | FINRA | 9 November 2022 | Fairmont Miramar - Hotel & Bungalows, 101 Wilshire Blvd, Santa Monica, CA 90401, USA

Venue
Fairmont Miramar - Hotel & Bungalows
Fairmont Miramar - Hotel & Bungalows, 101 Wilshire Blvd, Santa Monica, CA 90401, USA

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Event Date Wed Nov 9 PST - Thu Nov 10 PST (about 2 years ago)
In your timezone (EST): Wed Nov 9 3:00am - Thu Nov 10 3:00am
Location Fairmont Miramar - Hotel & Bungalows
101 Wilshire Blvd, Santa Monica, CA 90401, USA
Region Americas
Details

The conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.

Speakers

2022 Speakers

Kayte Toczylowski
FINRA Member Relations and Education

MODERATORS:

Robert Cook
FINRA

Greg Ruppert
FINRA Member Supervision

Yvette Panetta
FINRA Member Supervision

Peter Stoehr
FINRA Market Regulation

Brita Bayatmakou
FINRA Member Supervision

Andrew McElduff
FINRA Member Supervision

Omer Meisel
FINRA Member Supervision

PANELISTS:

Ornella Bergeron
FINRA Member Supervision

Michael (Mike) Manly
FINRA Enforcement

Michael Solomon
FINRA Member Supervision

Tim Thompson
FINRA Market Regulation

Dave Chapman
FINRA Market Regulation

Paul McKenney
FINRA CAT Business

Christy Moccia
Clear Street LLC

Nadja Skelton
FINRA Member Supervision

Wendy Lanton
Herold & Lantern Investments, Inc.

Greg Markovich
FINRA Member Supervision

Jennifer Szaro
XML Securities

Lisa Roth
Monahan & Roth, LLC

Joseph (Joe) Sheirer
FINRA Member Supervision

Jeanette Wingler
FINRA Market Regulation

Matthew Reyburn
FINRA Market Supervision

Jamie Udinson
FINRA Member Supervision

Armando Valés
FINRA Membership Application Program (MAP)