2019 FINRA Annual Conference Speaker Biographies

 
2019 FINRA Annual Conference
Speaker Biographies

Jeff Aelmore is the surveillance director of the Denver District office of FINRA with more than 10 years of
experience in examination roles. He currently manages a team of Regulatory Coordinators and is responsible
for risk assessment, financial, operational and sales practice surveillance for approximately 200 broker-
dealers. Mr. Aelmore was previously an examiner for FINRA in the Dallas District office from 2005 through
2010 and was an Examination Manager in the Seattle District office from 2010 through 2015. Mr. Aelmore is
a Certified Regulatory and Compliance Professional™ (CRCP™) from the FINRA Institute at the Wharton
School of Business and is a graduate from Kansas State University with a bachelor’s degree in finance and
a minor in economics.

Gabriela Aguero is Director in FINRA’s Corporate Financing Department. In her role, she oversees the Public
Offering Review (POR) program. The POR group is responsible for the review of a wide array of filings and
the interpretation and application of FINRA’s rules that regulate underwriting activities and conflicts of
interests in public offerings. Ms. Aguero began her career at FINRA when she joined NASD in 2000. She has
an MBA from the John’s Hopkins Carey Business School in addition to an undergraduate degree in Finance
as well as designation as a FINRA Certified Regulatory and Compliance Professional™ (CRCP™) Program
at Wharton.

Patricia Albrecht is a senior director with FINRA’s Member Relations and Education Department and
manages the FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP)®
program and FINRA’s Half-Day Compliance Boot Camp program. Previously, she was an associate general
counsel in FINRA’s Office of General Counsel, and served in the same role at NASD before its 2007
consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. She also has worked
at the U.S. Securities and Exchange Commission in various offices and departments, including the Office of
General Counsel and the Division of Trading and Markets, and serving as a counselor to Commissioner
Norman Johnson. In addition, Ms. Albrecht worked for several years as a staff attorney at the U.S. Federal
Fifth Circuit Court of Appeals and completed a federal judicial clerkship with U.S. District Court Judge Harry
Lee Hudspeth.

Christopher W. Alwine, CFA is a principal and Head of the Global Credit Team at Vanguard. Mr. Alwine
joined Vanguard in March of 1990 and has over 25 years of investment experience. Mr. Alwine leads a global
team of 65 investment professionals responsible for the management of Vanguard’s actively managed credit-
sensitive bond portfolios. Mr. Alwine has served in multiple roles throughout his career in the fixed income
group. His experience includes trading, portfolio management and credit research. His portfolio management
experience spans both taxable and municipal markets as well as active and index funds. Mr. Alwine also is a
member on the investment committee at Vanguard that is responsible for developing macro strategies for the
firms internally managed fixed income funds. Mr. Alwine holds a Bachelor’s of Business Administration from
Temple University and a MS in Finance from Drexel University. He is a Chartered Financial Analyst. Mr.
Alwine is a member of the Temple University Leadership Council and the Dean’s Council of the Fox School
of Business.

James Angel, Ph.D., CFA is an associate professor of finance at the McDonough School of Business at
Georgetown University who specializes in financial market structure. His interests include fintech,
cryptocurrencies, and payments. He has visited more than 70 stock and commodities exchanges around the
world in his quest to learn the details of how markets really operate. Professor Angel has served as a Visiting
Academic Fellow in residence at the National Association of Securities Dealers (NASD – now FINRA) and
also as a visiting economist at the Shanghai Stock Exchange. He served as chairman of the Nasdaq
Economic Advisory Board and later on the board of directors of the Direct Edge stock exchanges prior to their
acquisition by BATS Global Markets. He is now the Academic Director of the FINRA CRCP® program.

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Professor Angel is a co-inventor on 12 fintech patents. He has testified six times before Congress about
issues relating to the design of financial markets. In addition, he has been quoted in thousands of media
articles and has appeared numerous times on radio and television. He began his professional career as a
rate engineer at Pacific Gas and Electric, where he worked on FERC and CPUC related issues in electricity
regulation. After earning his MBA at Harvard, he worked at BARRA (later part of Morgan Stanley) where he
developed transactions cost prediction and equity risk models used in portfolio management. Professor Angel
earned his B.S. from the California Institute of Technology, his MBA from Harvard Business School, and his
Ph.D. from the University of California at Berkeley. He has been a professor at Georgetown University since
1991. From 2012 to 2014 he was a visiting associate professor at the Wharton School of the University of
Pennsylvania. The courses he has taught include Capital Markets, World Equity Markets, Investments, as
well as Complex Financial Instruments and Derivatives.

Jonah Arcade has been with FINRA for nine years, and is currently an Examination Manager in FINRA’s NY
District Office dedicated to large firm sales practice examinations. Mr. Arcade started his career at FINRA in
2010 as a Principal Examiner, and was promoted to Examination Manager in 2015. Additionally, he works
with FINRA’s Regulatory Specialist Program as the head of the Research Subject Matter Expert Group. Prior
to joining FINRA, Mr. Arcade spent five years with Bear, Stearns & Co. and one year with J.P. Morgan
Securities LLC covering fixed income and equity research. While at Bear Stearns, he obtained the Series 7,
63 and 24 registrations. Mr. Arcade is a graduate of the University of Michigan and the American University
Washington College of Law.

Norm Ashkenas is Senior Vice President and Chief Compliance Officer for Fidelity Brokerage Services and
Fidelity Personal and Workplace Advisors, running Broker/Dealer, Investment Advisor, Trust and Insurance
compliance for Fidelity Investments’ retail, wealth management and retirement business. He has been with
Fidelity since 2003 in various compliance leadership roles, covering B/D, IA, Insurance, ERISA/Tax and TA
issues. He has also been CCO for Fidelity Distributors Corporation and Fidelity Personal Trust. Mr. Ashkenas
was SVP for Regulatory & Compliance Examinations with Prudential Securities Inc., and VP/Associate
General Counsel for 10 years, and was a litigation attorney with Chemical Bank. He is the Vice Chair and
former Chair for the FINRA National Adjudicatory Council, has served on the FINRA Membership, District 11
and Regulatory Advisory Committees, and serves as Chair for the Board of Directors for the National Society
of Compliance Professionals. Mr. Ashkenas has spoken frequently at industry conferences including the
FINRA Annual Conference, SIFMA C&L Division Annual & Regional Seminars and NSCP National & Regional
Seminars. He earned a BA from Northwestern University and a JD from Fordham Law School, and holds
Series 7, 14, 24 & 63.

Derek Ashworth is Associate Director in FINRA’s Advertising Regulation Department. The department
protects investors by ensuring broker-dealer members of FINRA use communications that are fair, balanced
and not misleading. Mr. Ashworth’s primary responsibility is managing staff members dedicated to the routine
review of member firm communications. Mr. Ashworth also participates in the Department’s outreach efforts
including serving as a panelist in prior FINRA conferences and presenting during selected FINRA Compliance
Boot Camps. He has been with the Advertising Regulation Department for 19 years. Prior to joining FINRA,
Mr. Ashworth was a program manager for a business and education partnership at Nova Southeastern
University in Fort Lauderdale, FL. Previous to this role, he was a specialty banker and registered
representative with First Union in West Palm Beach, FL. Mr. Ashworth received his bachelor’s degree from
Stetson University and completed his M.B.A. at Johns Hopkins University.

Afshin Atabaki is Associate General Counsel in FINRA’s Office of General Counsel, Regulatory Practice
and Policy. In this capacity, he renders legal advice and support to FINRA management and staff in
connection with regulatory initiatives, as well as develops and interprets FINRA rules. His areas of regulatory
expertise include recordkeeping requirements. Mr. Atabaki graduated Phi Beta Kappa, cum laude, from the
University of Maryland, College Park, with a B.A. in History and received his law degree from Cleveland-
Marshall College of Law.

Suzy Auletta, Senior Vice President and Chief Compliance Officer, leads Raymond James’ Private Client
Group Compliance, and is responsible for a myriad of retail brokerage compliance functions. Prior to joining
Raymond James in August, Ms. Auletta was an Executive Vice President at LPL Financial within the
Compliance, Legal and Risk organization. During her four-year tenure at LPL, she held a variety of senior
roles including Chief Compliance Officer and Head of Fraud Risk, Surveillance and Investigations. Ms. Auletta
has more than 30 years of securities industry experience. Prior to joining LPL, she was a Managing Director
in Global Wealth Investment Management Compliance at Bank of America Merrill Lynch, where she managed

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compliance functions including branch exams, surveillance, regulatory exam management, and vendor
compliance. In earlier roles, Ms. Auletta served as Chief Compliance Officer and Regulatory Counsel for an
NYSE specialist firm, and as an attorney in a boutique law firm specializing in regulatory litigation. She began
her career as an enforcement attorney at the American Stock Exchange, where she remained for over 11
years, ultimately serving as Chief Counsel. Ms. Auletta earned Bachelor of Arts degrees in psychology and
sociology from SUNY Albany and a JD from Brooklyn Law School.

Stephen R. Bard is Senior Vice President, and Wells Fargo's Wealth and Investment Management’s Director
of Social Media and Communications Compliance. He leads the oversight of the Firm’s communication
policies and procedures for their traditional, bank brokerage, and independent Broker Dealer/Investment
Adviser dual registrants. With more than 25 year’s industry experience, he is responsible for managing the
development and implementation of a risk-based compliance program to meet federal, state, agency, legal
and regulatory requirements. His team annually reviews 75,000 pieces of communications including Digital
Marketing submissions from social media, mobile and e-communications. He is currently a participant on
FINRA’s Public Communications Committee; and was a member of their Social Media taskforce, and
participated in their BrokerCheck hyperlink working group. In addition to communication related issues, he
provides guidance on tools, software, Privacy and Books and Records requirements.

James Barry is Executive Director and currently head of Margin Solutions at Morgan Stanley. In this role, he
primarily supports the integrated prime brokerage business covering multiple asset classes including equities,
listed and OTC derivatives and their associated regulatory margin requirements. He is a past president of the
SIFMA Credit and Margin Section and is currently a board member of the SIFMA Credit and Margin Forum.
He is also a member of the FINRA 4210 Committee and has more than 30 year’s margin and credit risk
management experience covering both institutional and retail clients.

Ashley Bashur is a Counsel in the Securities Litigation and Enforcement practice group in WilmerHale’s DC
Office. Ms. Bashur’s practice focuses on complex securities enforcement matters. She has represented public
issuers, broker-dealers, banks, and individuals in investigations and enforcement proceedings before the
Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and other
self-regulatory organizations and governmental agencies. Ms. Bashur has experience representing clients in
investigations across a broad spectrum of subject matters, including market structure issues pertaining to
high-frequency trading, market-making, and alternative trading systems; manipulative trading; whistleblower
retaliation; sales practices; insider trading; and compliance with regulatory requirements for broker-dealers
and banks, such as the market access rule, Reg NMS, Reg U, and data retention rules. Ms. Bashur also has
a dedicated pro bono practice. She volunteers at the DC Bar’s Landlord Tenant Resource Center, has
represented indigent defendants in criminal appeals, and has submitted amicus curiae briefs to the United
States Supreme Court on behalf of non-profit organizations. Ms. Bashur received her J.D., summa cum laude,
from the University of Baltimore School of Law and received her B.A. in Political Science from Dickinson
College.

Matthew Beals is Chief Operating Officer and Chief Information Officer at Bolton Global Capital. In this role,
Mr. Beals oversees back office operations, platform development, infrastructure expansion, information
systems, and cybersecurity. He also works closely with Bolton’s executive team on business development
and company strategy. Prior to his current role, Mr. Beals was Manager of Technology and Business
Development for Bolton Global Capital, where he managed information systems, cybersecurity, and
supported new advisor acquisition. Mr. Beals holds a BS in Mathematics and Statistics and an MBA, both
from the University of Massachusetts at Amherst. He also holds FINRA Series 7 and 24 licenses.

Shayna Beck is the head of Retail Communications for Vanguard in Valley Forge, PA. Prior to holding this
position, Ms. Beck was Associate Counsel for Vanguard, where she advised on Vanguard’s distribution
activities, including advertising compliance and social media practices. Ms. Beck holds a bachelor’s degree
in actuarial science from Pennsylvania State University and a law degree from Widener University School of
Law.

Dennis Beirne is Chief Operating Officer and Chief Compliance Office of People’s Securities, Inc., a wholly
owned subsidiary of People’s United Bank, in Bridgeport, CT. People’s Securities is a broker-dealer,
registered investment advisor, and insurance agency servicing retail clients. Mr. Beirne’s responsibilities
encompass sales practice supervision, KYC/CIP/BSA/AML/OFAC conformance, securities processing, data
warehousing, aggregation, and analysis, as well as customer facing systems and applications. Mr. Beirne
was co-chairperson of the Broadridge BPS Strategic Steering Committee and he previously served as a

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FINRA District 11 Committee member from 2013 through 2015. He holds FINRA Series 6, 7, 24, 53, 63 & 65
registrations.

Bill Bell is District Director for the FINRA Philadelphia office. In this role, he is responsible for the execution
of the office’s Examination and Surveillance departments as well as the overall management of the office.
Prior to his promotion to Director in 2018, Mr. Bell was the Associate Director and an Exam Manager in the
Philadelphia District office. Mr. Bell has also served as an examiner in the Philadelphia and Chicago offices.
Mr. Bell graduated from Marist College with a BS in Business Administration and earned an MBA from
Villanova University.

Alan J. Berkeley is a partner at K&L Gates, LLP and devotes much of his professional time working with
management, boards of directors, and public and privately-held companies on sensitive corporate and
securities regulatory matters. These include corporate governance developments, structural planning,
regulatory compliance inquiries and initiatives, transactional events, and SEC enforcement investigations. He
has also handled and led teams for mergers and acquisitions, financings, and commercial transactions for
both large and small, public and privately-held clients. Mr. Berkeley practiced in these fields in the firm’s
London and Sao Paulo offices and is registered as a foreign legal consultant in Brazil. Mr. Berkeley has more
than 50 years of experience in corporate and securities law. He is extensively involved in professional and
academic activities, including many years as member of the adjunct faculty at Georgetown University
and George Washington University law schools, as a contributor to several academic treatises and practical
publications, and as a frequent and well-recognized speaker on professional and business education
programs. Mr. Berkeley has been listed in The Best Lawyers in America in the category of Corporate Law
since 2001. Mr. Berkeley is an active member of the District of Columbia and New York Bar. Mr. Berkeley
received his J.D. from Georgetown University Law Center and a B.S. from Cornell University.

Richard W. Berry is Executive Vice President and Director of FINRA’s Office of Dispute Resolution. Prior to
serving in this capacity, Mr. Berry was Senior Vice President, Dispute Resolution. In that role, he oversaw the
four regional offices—New York, Boca Raton, Chicago and Los Angeles—and the New York Case
Administration unit. Mr. Berry joined FINRA, then NASD, in 1995 as head of Dispute Resolution's Los Angeles
satellite office. In 2001, he was named Director of Case Administration in the New York City office. Mr. Berry
serves as Executive Champion of FINRA’s Toastmasters Clubs. Prior to joining FINRA, he taught American
law for one year in Budapest. Mr. Berry began his career practicing law in San Francisco. He is a graduate
of the University of California at Santa Barbara and Hastings College of the Law. Mr. Berry is a member of
the California Bar.

Laura Leigh Blackston is Senior Counsel with FINRA’s Enforcement Department. Ms. Blackston joined
FINRA as an attorney in 2002. Prior to joining FINRA, she was an associate and partner with the General
Litigation group of the law firm Jones Walker. As Senior Counsel, Ms. Blackston has handled key enforcement
actions regarding anti-money laundering and has co-taught Anti-Money Laundering Regulation at FINRA’s
Institute at Wharton. Ms. Blackston graduated from the University of Mississippi in 1988 with honors and
received her J.D. Degree from Washington and Lee University with honors in 1992. She is also a member of
FINRA’s Anti-Money Laundering Regulatory Expert Group and is Certified Anti-Money Laundering Specialist
(CAMS).

Kevin Bogue joined FINRA in January 2017 as a Regulatory Principal in the Chicago District Office. Mr.
Bogue is a member of the Sales Practice Cybersecurity team responsible for examining firms' controls over
their protection of sensitive client and firm information. Prior to joining FINRA, Mr. Bogue has more than 17
years of information technology (IT) and security experience working as a technology consultant with
Accenture, as an internal Global IT auditor, IT Compliance Manager and SOX Program Manager with Abbott
Laboratories, as an IT Compliance Manager with Brunswick and as an internal IT Audit Manager with CDW.
Mr. Bogue earned an MS in Information Systems from DePaul University in Chicago, IL and a BS in
Psychology from Iowa State University in Ames, IA.

Bonnie Bowes is Associate Director of Fixed Income Regulation within FINRA Member Regulation. Ms.
Bowes drives key FINRA fixed income initiatives in municipal, corporate and government securities and
securitized products. She focuses on the policy and examination implications of current fixed income
regulatory matters in order to provide guidance to FINRA staff and member firms. Prior to joining FINRA in
2013, her career encompassed leadership roles in fixed income compliance, operations, product
management and credit risk. Ms. Bowes has worked at top-tier wealth management and capital markets

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broker-dealers, an alternative trading system (ATS) and the Depository Trust and Clearing Corp. (DTCC).
She holds a bachelor’s degree in Mathematics and Economics from the University of Rochester.

Brooks Brown joined FINRA’s New Orleans District Office in 2001, and then transferred to FINRA’s Atlanta
District Office in 2006. Mr. Brown assumed the role of Associate District Director in July 2015 and is
responsible for overseeing the office’s cycle examination program. Previously, as an Examination Manager,
Mr. Brown supervised five staff members who conduct cycle examinations to review for compliance with
FINRA and SEC rules. Prior to joining FINRA, Mr. Brown worked with Trustmark National Bank in Jackson,
Mississippi from 1999 to 2001 as an equity analyst in Trustmark’s Trust Department. Mr. Brown earned the
Certified Regulatory and Compliance Professional™ designation from the Wharton School in 2013. Mr. Brown
is a graduate of Millsaps College in Jackson, Mississippi, and he also earned an M.B.A. from Millsaps
College’s Else School of Management.

Don Bruns is Senior Director of Web Services at FINRA. He is responsible for the day-to-day operations of
FINRA’s websites. He also serves as the lead strategist for FINRA.org. As a veteran of Razorfish and
NavigationArts, Mr. Bruns has led digital strategy engagements for Lockheed-Martin, Pershing, Ernst &
Young, KPMG, AARP, TIAA, the Commodity Futures Trading Commission (CFTC), USA.gov, and the U.S.
Department of the Treasury.

Lance Burkett, District Director, FINRA Denver Office, began his securities industry career in 1993 as a
Securities Fraud Investigator for the State of Arizona Securities Division, working exclusively on fraud cases
involving broker-dealers. Later, at a FINRA member firm, he was responsible for supervising Producing
Branch Managers and Field Representatives as the Field Compliance Director. Throughout his tenure with
FINRA, Mr. Burkett has held positions ranging from Compliance Examiner, responsible for examining FINRA
member firms for general compliance, to District Director, responsible for the management and oversight of
the regulatory programs within the Denver District office. In addition to his regulatory responsibilities, Mr.
Burkett earned his Certified Regulatory and Compliance Professional™ designation through the FINRA
Institute at Wharton and has developed content and presented at several FINRA Institute class offerings.

Amie Caban is Senior Managing Director and Chief Information Security Officer at Guggenheim Partners, a
privately held global financial services firm. She is responsible for the Firm’s Information Security and
Business Continuity Management Programs, as well as Enterprise Technology Governance. Mrs. Caban sits
on the Steering Committee for the Firm’s Women's Innovation and Inclusion Network (WIIN). She is also a
member of the Firm’s IT Oversight Committee and Vendor Diversity Advisory Council. Prior to joining
Guggenheim in 2009, she was the Head of Technical Services for Claymore Securities. Mrs. Caban holds a
Bachelor of Science in Network Communications Management from DeVry University and Executive
Management Education from the University of Chicago Booth School of Management. She is a Certified
Information Security Manager (CISM) through ISACA and is a member of the Investment Company Institute's
Chief Information Security Officer Advisory Committee.

Dawn Calonge is Surveillance Director in FINRA’s Florida District Office located in Boca Raton, Florida. Ms.
Calonge manages Regulatory Coordinator staff that are responsible for the ongoing financial monitoring and
sales practice surveillance of member firms in the Florida District Office. Prior to becoming a Surveillance
Director, she served as an Examination Manager responsible for managing examination staff that conducted
cycle and cause examinations. Ms. Calonge joined FINRA as a Staff Examiner, investigating a wide range of
member firm activities. Prior to joining FINRA, Ms. Calonge worked at the U.S. Securities and Exchange
Commission and the New York Stock Exchange. Prior to her regulatory work, Ms. Calonge worked in the
accounting field and received her Bachelor of Business Administration degree with a major in Accounting
from the University of Miami in Coral Gables, Florida.

Ana R. Carter is the founder/owner of Cartana Consulting Solutions, LLC, an Atlanta based consulting firm
providing outsourced FINOP, CFO and accounting services to small to medium sized broker-dealers across
the US. Mrs. Carter has spent her entire career (nearly 20 years) in the financial services industry with specific
strengths in financial reporting, net capital management, budgeting and strategic planning, cash
management, financial statement and operational analysis and day-to-day accounting functions. She is also
highly experienced with systems and clearing platform conversions, financial integration of acquisitions and
management of accounting operations of a broker/dealer generating annual revenues in excess of $150
million. Prior to founding Cartana Consulting Solutions, she served as the CFO and FINOP for a full-service
introducing broker-dealer in Tampa, FL. Mrs. Carter holds a Bachelor of Science degree in Finance from the
University of South Florida. In her spare time, she is a Girl Scout troop leader.

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Julie Carthane is Vice President, Compliance at Houlihan Lokey, Inc. and Chief Compliance Officer of
Houlihan Lokey Capital, Inc., a leading global investment bank with expertise in mergers and acquisitions
(M&A), financings, financial restructurings, and financial advisory services. Headquartered in Los Angeles,
Ms. Carthane has engineered and directed Houlihan Lokey’s regulatory systems and programs for more than
20 years, building an infrastructure that has supported the firm’s growth from 120 professionals to over 1500
worldwide. Prior to joining Houlihan Lokey, Ms. Carthane was the executive director of a non-profit
professional organization. She attended the University of California, Irvine, holds a Diploma in European
Capital Markets Regulation and Compliance from the University of Reading, England, and is a Certified
Regulatory and Compliance Professional (CRCP)®.

Mark Casady co-founded Vestigo Ventures in 2016 with a focus on financing start -ups in FinTech. He
is general partner and chairman of the advisory board. He is a member of the board of the EZE Software
Group and Citizens Financial Group, and serves as an advisor to Jobcase, Inc. He is a former member of the
Financial Industry Regulatory Authority (FINRA) Board of Governors. Mr. Casady retired as LPL Financial
CEO in early January 2017 and as non-executive chairman of the board in early March 2017. He guided LPL
to become a leading financial services organization that serves independent financial advisors, banks, and
credit unions, and provides clearing services to broker/dealers at financial services companies. Before joining
LPL Financial in 2002, Mr. Casady was managing director of the mutual fund group for Deutsche Asset
Management, Americas — formerly Scudder Investments. Prior to Scudder, he held roles at Concord
Financial Group, which was a start-up funded by Hambrecht & Quist that went public, and started his career
at Northern Trust. Additionally, Mr. Casady is treasurer of the Casady family’s One Step Forward Education
Foundation, which focuses on changing the lives of children around the globe through education. He also
helped found and fund the Invest in Others Charitable Foundation, which recognizes the philanthropic activity
of financial advisors. Mr. Casady received a BS from Indiana University and an MBA from DePaul University.

Patrick J. Caulfield is Vice President and Chief Compliance Officer for Lincoln Financial Group Distribution
(“LFGD”), which includes Lincoln Financial Network, the company’s retail private client business, and its
broker-dealers and registered investment advisors, Lincoln Financial Securities Corporation and Lincoln
Financial Advisors Corporation, and Lincoln Financial Distributors, Inc. (“LFD”), the company’s wholesale
business and broker-dealer. In this role, Mr. Caulfield is responsible for development of risk-based compliance
policies, procedures and controls for, and oversight of all compliance issues that impact, the LFGD broker-
dealers and investment advisors. Previously, Mr. Caulfield was Chief Counsel and Chief Compliance Officer
for LFD. Prior to joining Lincoln in 2002, Mr. Caulfield spent approximately 20 years with the Equitable Life
Assurance Society of the United States and its successor companies, AXA Client Solutions and AXA
Advisors, where he held a number of senior level legal and business positions. For many years, he served
as general counsel to retail distribution and chief employment law counsel to the entire corporation. During
his last three years with Equitable and AXA, Mr. Caulfield was senior vice president and chief operating officer
for retail distribution. Mr. Caulfield has written and lectured extensively on a variety of compliance and legal
matters before industry, regulatory and bar associations and authorities including FINRA, SIFMA, FSI, ACLI,
ALIC, LIMRA, NSCP, ACC and the Compliance Forum. Mr. Caulfield is a graduate of St. Peter’s University,
where he received a B.S. in Mathematics, and Fordham University School of Law, where he received his J.D.
He also has FINRA Series 7, 24, 51 and 66 designations. He is former Chairman of the Regulatory
Compliance Committee of LIMRA, and is a member of the NSCP, the Compliance Forum and the Broker-
Dealer Committee of IRI.

Anthony Cavallaro is a senior vice president and the head of the Central Review Group of FINRA’s Office
of Fraud Detection and Market Intelligence. He is responsible for managing two units that review and
investigate regulatory filings, complaints and other matters received regarding violations of SEC and FINRA
rules and regulations. Mr. Cavallaro reports to the Department’s Executive Vice President. Prior to his current
role, Mr. Cavallaro was a vice president in the Member Regulation Department and also served in the
Enforcement Department of FINRA where he managed two units that investigated and prosecuted violations
of securities laws and regulations. Mr. Cavallaro was a vice president at the New York Stock Exchange and
began serving at FINRA when NYSE Member Regulation and Enforcement consolidated with NASD to form
FINRA in 2007. Prior to joining the NYSE in 1997, Mr. Cavallaro was an Assistant District Attorney in the New
York County District Attorney’s Office where he was responsible for investigating and prosecuting various
criminal matters including white-collar cases. Mr. Cavallaro received his law degree from St. John’s University
School Law and a B.S. in finance from Fordham University, College of Business Administration. He is a
military veteran and retired with the rank of major after 20 years of service in the US Army Reserve.

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Ron Chan is Managing Regulatory Coordinator in the Office of Risk Oversight and Operational Regulation
as part of FINRA’s department of Member Supervision. In his current role, Mr. Chan is responsible for the
risk assessment and surveillance of certain FINRA member firms, with a focus on the framework of financial,
operational, and business conduct controls. He began his career in operations control at National Financial
Services LLC, and was with Citigroup Global Markets Inc. as a Vice President in its Regulatory Reporting
group covering Citi’s U.S. Broker Dealers, where he maintained a Series 27 license before joining FINRA in
2013. Mr. Chan earned a Bachelor of Arts degree in both Economics and Sociology from Stony Brook
University, and in 2014 completed the Certified Regulatory Compliance Professional™ program sponsored
by the FINRA Institute at Wharton.

Evan Charkes is Managing Director and Associate General Counsel for Bank of America, and supports the
US Merrill Lynch Wealth Management business, including as chief counsel to the firm’s Private Wealth
Management advisors, who service the wealth management needs of ultra-high new worth clients. Mr.
Charkes has spent a significant portion of his career supporting wealth management businesses, including
at Citi, where he was a Managing Director and Deputy General Counsel for its Global Wealth Management
business. Mr. Charkes has also spent a portion of his career supporting banking related businesses for global
banks, including as a Director of Financial Holding Company Compliance for Morgan Stanley, and as a
Deputy General Counsel for Citi’s Commercial Business Group. Mr. Charkes started his career as a litigation
associate in private practice in New York City. Mr. Charkes is currently the Chair of FINRA’s National
Adjudicatory Council and a former member of the FINRA Compliance Advisory Committee and FINRA
International Committee. Mr. Charkes also formerly served for several years as the co-chair of the SIFMA
Compliance and Regulatory Policy Committee and SIFMA Self-Regulation and Supervisory Practices
Committee, and has been a frequent speaker at the SIFMA Compliance & Legal Society annual seminar. He
has contributed numerous articles to the New York Law Journal and Wall Street Lawyer regarding securities
law. Mr. Charkes is an Adjunct Professor at the Elisabeth Haub School of Law at Pace University and teaches
securities regulation. He is a member of the Board of Directors of the Pro Bono Partnership, a non-profit
organization that provides legal services to nonprofit organizations in Connecticut, New Jersey and New York.
Mr. Charkes is a graduate of Georgetown University Law Center and Columbia College.

Carrie Chelko is Senior Vice President and Chief Counsel for Lincoln Financial Group’s Distribution
organization, which includes Lincoln Financial Distributors (LFD), the wholesale broker-dealer responsible for
distributing Lincoln’s insurance, annuities and retirement plans, and Lincoln Financial Network (LFN), the
company’s retail wealth management business. She is also a member of Lincoln’s Corporate Leadership
Group (CLG), where she works with other senior leaders across Lincoln to develop and execute on strategic
initiatives. In her role as Chief Counsel, Ms. Chelko is responsible for overseeing legal and compliance
aspects of Lincoln’s broker-dealers and investment advisers, providing strategic advice and counsel to LFD
and LFN’s Executive Leadership Teams and working with regulators to manage industry issues. Prior to
joining Lincoln, Ms. Chelko served as Deputy General Counsel and Assistant Corporate Secretary for Janney
Montgomery Scott, where she was responsible for managing the firm’s Litigation and Regulatory Affairs
Practice Group. Earlier in her career, Ms. Chelko practiced law at Saul Ewing LLP in Philadelphia, PA, where
she represented financial services industry clients in a wide range of legal, regulatory and compliance
matters. Ms. Chelko is an active participant in financial industry committees, conferences and events. She is
currently active in the Securities Industry and Financial Markets Association (SIFMA) and the American
Council of Life Insurers (ACLI). She previously served a three-year appointment on the National Arbitration
and Mediation Committee, an advisory group to the Financial Industry Regulatory Authority’s (FINRA) Dispute
Resolution division. Over the years, she has been a panelist at various industry conferences and presented
on myriad topics, including FINRA arbitrations, the current regulatory landscape, compliance programs,
overseeing successful regulatory examination programs, conducting effective internal investigations and
ethics for in-house lawyers. Ms. Chelko is also an advocate for seniors and works to address senior-related
financial issues, including diminished capacity and exploitation. She is an active member of the Philadelphia
Corporation for Aging’s Task Force, which is focused on how to increase awareness of elder abuse and
prevent financial exploitation of seniors living in Philadelphia. In 2017, Ms. Chelko received the Philadelphia
Business Journal’s 2017 Women of Distinction Award, which recognized her commitment to the advancement
of women and diversity in the Philadelphia business community. Currently, she is an active Board member of
the Philadelphia Diversity Law Group and the WISE Group (Women Inspiring Supporting and Educating), a
financial services organization committed to attracting, developing and retaining women in the financial
services industry. Ms. Chelko received bachelor degrees in political science and psychology from Grove City
College, Grove City, PA, and a law degree from Temple University, Philadelphia, PA, where she served as
the Business Editor of the Temple Law Review.

                                         © 2019 Financial Industry Regulatory Authority, Inc. All rights reserved.   7
Paul Chryssikos is Vice President and Chief Counsel, Annuities at Lincoln Financial Group. Mr. Chryssikos
leads the legal and compliance teams that support Lincoln’s Annuities business, including SEC registrations
and disclosures, regulatory examinations and testing, separate accounts compliance, suitability review,
product compliance, and customer complaints. In addition, he regularly advises senior leaders at Lincoln on
securities and insurance industry regulatory policy matters that impact the company’s businesses. Previously,
Mr. Chryssikos served as Lincoln’s Vice President of Regulatory Compliance. In that role, he led Lincoln’s
AML and Fraud team and regularly advised senior executives in Lincoln’s retail broker-dealer business on
sales practice, cybersecurity, AML and other matters. Prior to joining Lincoln, Mr. Chryssikos spent six years
at the Securities and Exchange Commission, in the Division of Enforcement, where he investigated matters
relating to, among other things, broker-dealer regulations, insider trading, alternative trading systems/dark
pools, and AML violations. Prior to the SEC, he was in private practice at major law firms primarily engaged
in securities litigation and securities enforcement defense. Mr. Chryssikos earned his bachelor’s degree from
Georgetown University and his law degree, cum laude, from the Villanova University School of Law.

Brent P. Cohen is Executive Director and Financial Crimes Counsel responsible for financial crimes legal
coverage for UBS's businesses in the Americas. Prior to joining UBS, Mr. Cohen served as the U.S. Head of
AML Compliance at RBC Capital Markets, LLC responsible for oversight of AML, sanctions and the financial
crimes program for the institutional trading business, investment banking, corporate banking and the Royal
Bank of Canada-World Financial Center branch. Mr. Cohen previously served as the Director of AML
Compliance within FINRA’s Enforcement Department. His primary responsibilities included assisting with anti-
money laundering issues arising in investigations and examinations, as well as advising staff FINRA-wide on
issues involving the handling of suspicious activity reports (SARs). Before FINRA, Mr. Cohen was a vice
president in the AML-Suspicious Activities Group at Goldman Sachs & Co. In that role, he was responsible
for investigating potentially suspicious activity across the firm's various business lines, including private wealth
management, prime brokerage and clearing and execution. Mr. Cohen also previously served as an assistant
general counsel in the Money Laundering Prevention Group at UBS Financial Services, Inc., where he
investigated possible violations of the Bank Secrecy Act ("BSA") and provided legal advice to business units
concerning BSA requirements and the implementation of the firm's policies and procedures. Mr. Cohen
received his B.A. from the State University of New York at Albany, from which he graduated summa cum
laude, and his J.D., with honors, from the University of North Carolina School of Law.

David A. Cohen is an attorney in the U.S. Securities and Exchange Commission’s Office of Market
Intelligence, Bank Secrecy Act Group. The BSA Group reviews SAR filings and provides guidance to the
SEC’s enforcement staff in connection with AML-related matters. Mr. Cohen joined the SEC’s Office of
Investor Education and Advocacy in 2013 and moved to the Office of Market Intelligence in 2017. Before
joining the Commission, Mr. Cohen was an Assistant Director of Government Relations for the Financial
Planning Association. Mr. Cohen also served as the Supervising Attorney in the Bureau of Registration and
Enforcement for the Wisconsin Department of Financial Institutions, Division of Securities. He supervised the
staff of attorneys and investigations responsible for enforcing Wisconsin’s securities laws. Mr. Cohen began
his law career in private practice with firms in New York, New York and Madison, Wisconsin. He received a
B.S. in Economics from the Wharton School of the University of Pennsylvania and his J.D. from Boston
University.

Robert Colby is Chief Legal Officer of FINRA. He oversees FINRA’s rulemaking, interpretive and corporate
legal functions, as well as FINRA’s Advertising, Corporate Financing and Dispute Resolution Departments,
and FINRA’s Hearings and Appellate Offices. Before joining FINRA, Mr. Colby was a partner in the law firm
of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters involving securities
and derivatives for financial institutions and markets. Before joining Davis Polk, Mr. Colby served for 17 years
as Deputy Director in the Securities and Exchange Commission’s Division of Trading and Markets. In that
capacity, he was responsible for the regulation of broker-dealers, securities markets and clearing
organizations. Before serving as Deputy Director, for 11 years Mr. Colby was Chief Counsel of the Division
of Trading and Markets, and Chief of the Division’s Branch of Market Structure. Mr. Colby received his J.D.
cum laude from Harvard Law School and his undergraduate degree summa cum laude from Bowdoin College.

Gus Coldebella is Chief Legal Officer at Circle, a global crypto finance company built on blockchain
technology, powered by crypto assets and dedicated to helping create and share value globally. At Circle,
Mr. Coldebella is responsible for all legal, compliance, regulatory, and government affairs. Mr. Coldebella
joined Circle in September of 2018, where his work in crypto finance and regulation complements his
experience in homeland and cyber security. From 2005 to 2009, he was the Deputy General Counsel, then
the acting General Counsel, of the U.S. Department of Homeland Security, focusing on all major security

                                           © 2019 Financial Industry Regulatory Authority, Inc. All rights reserved.   8
issues confronting the nation. As the department’s top lawyer, he helped lead implementation of President
Bush’s Comprehensive National Cybersecurity Initiative, designed to shore up the government’s civilian
networks from attack and to promote information sharing and cooperation between the public and private
sector. Formerly, Mr. Coldebella was a principal at the law firm of Fish & Richardson and a partner at the law
firm of Goodwin Procter. In private practice, he concentrated on helping companies deal with all aspects of
crisis management, government and internal investigations, complex civil litigation, and cyber security
planning and incident response. He completed his J.D. from Cornell Law School in 1994 (magna cum laude)
and B.A. from Colgate University in 1991, where he is currently on the Board of Trustees and serves as Audit,
Legal Affairs, and Risk Committee chair. Circle was founded in 2013 by Internet entrepreneurs Jeremy Allaire
and Sean Neville. The company is backed by over $250 million in capital from 5 rounds of investments from
2013 to 2018, including most recently US$40 million by Bitmain and previously US$50 million by Goldman
Sachs as well as additional venture funding from Breyer Capital, Accel Partners, General Catalyst Partners,
and Oak Investment Partners.

Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation.
From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S.
Securities and Exchange Commission. Under his direction, the Division’s professionals were responsible for
regulatory policy and oversight with respect to broker-dealers, securities exchanges and markets, clearing
agencies and FINRA. In addition, the Division reviewed and acted on over 2,000 rule filings and new product
listings each year from self-regulatory organizations, including the securities exchanges and FINRA, and was
responsible for implementing more than 30 major rulemaking actions and studies generated by the Dodd-
Frank and JOBS Acts. He also directed the staff’s review of equity market structure. Immediately prior to
joining FINRA, and before his service at the SEC, Mr. Cook was a partner based in the Washington, DC,
office of an international law firm. His practice focused on the regulation of securities markets and market
intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies.
During his years of private practice, Mr. Cook worked extensively on broker-dealer regulation, advising large
and small firms on a wide range of compliance matters. Mr. Cook earned his J.D. from Harvard Law School
in 1992, a Master of Science in Industrial Relations and Personnel Management from the London School of
Economics in 1989, and an A.B. in Social Studies from Harvard College in 1988.

Todd J. Coppi has been employed with FINRA for more than 19 years and is currently Associate District
Director in the Boston office. Prior to joining FINRA, Mr. Coppi was employed with Dreyfus Service
Corporation (acting Branch Manager) and Morgan Stanley Dean Witter as a Financial Consultant. The Boston
District office oversees regulatory activities of member firms and registered persons within the jurisdictions of
the New England states and portions of Canada and Europe. Regulatory activities include onsite exams of
main and branch offices, investigation of customer complaints and terminations of registered persons, and
surveillance of member’s financial submissions. Mr. Coppi has a Bachelor degree in Business Administration
from Mt. Ida College in Newton, MA and is also a graduate of the FINRA Institute at Wharton Certified
Regulatory and Compliance Professional™ (CRCP™) program.

Meredith Cordisco is Associate General Counsel with FINRA’s Office of General Counsel. In this capacity,
she provides legal guidance on policy initiatives, rule changes and interpretations in various areas, including
regarding new issues and spinning, private securities transactions and outside business activities. Before
joining FINRA, Ms. Cordisco was counsel in the Securities Litigation and Enforcement group at WilmerHale,
where she focused her practice on complex securities enforcement investigations. Ms. Cordisco received her
B.S., summa cum laude, in International Business and French from Mount St. Mary’s University in
Emmitsburg, Maryland, and her J.D., summa cum laude, and M.B.A., cum laude, from Villanova
University. Following her studies, Ms. Cordisco clerked for the Honorable Eduardo C. Robreno on the U.S.
District Court for the Eastern District of Pennsylvania.

Mark W. Cresap III is President and owner of Cresap, Inc., a position he has held since 1990. Cresap, Inc.
is a fully disclosed broker-dealer and SEC-registered investment adviser with 25 registered representatives.
Previously, from 1980 to 1989, Mr. Cresap was the President of PML Securities (aka 1717 Capital
Management), a broker-dealer subsidiary of Provident Mutual Insurance. He was responsible for more than
1,800 registered representatives. Before that, Mr. Cresap worked as regional sales director for CIGNA
Securities and as a registered representative for W. H. Newbolds & Sons. Mr. Cresap is a former member of
the FINRA Board of Governors. He previously served as Chair of the FINRA Small Firm Advisory Board,
Chair of a FINRA District Committee, FINRA Nominating Committee Chair, and as a member of the FINRA
Membership Committee. He received his bachelor's degree from Williams College.

                                          © 2019 Financial Industry Regulatory Authority, Inc. All rights reserved.   9
Karen M. Crupi is Senior Vice President and Deputy General Counsel of Fidelity Investments. Since 2008
Ms. Crupi has been the Chief Legal Officer for National Financial Services LLC, Fidelity’s fully disclosed
clearing broker-dealer providing clearing and custodial services to over 200 independent BDs and 3,000
RIAs. From 2002-2008, Ms. Crupi was a partner at Heller Ehrman, focusing on Broker-Dealer Regulation &
Enforcement. From 1997-2002 Ms. Crupi was Director and Counsel to the Equities Division of CSFB. She
began as a litigation associate at Shearman & Sterling from 1989 - 1996. Ms. Crupi received her JD from
Albany Law School in 1989, cum laude, and served as an Executive Editor of the Albany Law Review. Ms.
Crupi received her B.A. in Political Science in 1985, cum laude, from Hofstra University, where she was a
member of Phi Beta Kappa.

Brian Curtis is Global Head of Anti-Money Laundering for BNY Mellon’s Pershing, as well as the Head of
Compliance for Pershing’s Florida Regional Office. In his role, Mr. Curtis is responsible for overseeing all
areas of Pershing’s Global AML Program including Surveillance and Investigations, Sanctions Compliance,
and Suspicious Activity Monitoring and Reporting. Prior to his current position, Mr. Curtis led Pershing’s KYC
Program where he managed a team responsible for the initial due diligence and ongoing risk monitoring of
Pershing’s clients globally. Before joining Pershing, Mr. Curtis was Chief Compliance Officer and Chief AML
Officer for Newbridge Securities Corporation and Newbridge Financial Services Group. He also had a
successful career as a Compliance Specialist in FINRA’s Regional Florida District Office, where he led
numerous examinations focused on compliance and Anti-Money Laundering programs as well as participating
in key regulatory initiatives. Mr. Curtis has held leadership positions as an industry consultant focusing on
key regulatory initiatives for Broker-Dealers, Registered Investment Advisers, and CFTC Registrants. Mr.
Curtis maintains a B.A.A. from Central Michigan University, an MBA from Florida Atlantic University, and is a
Certified Regulatory Compliance Professional (CRCP)® and active FINRA Arbitrator.

Steven M. D’Antuono is Section Chief in the Financial Crimes Section in the Criminal Investigative Division
of the Federal Bureau of Investigation. Mr. D’Antuono began his career with the FBI in 1996 as a Forensic
Accountant assigned to the Boston Division, Providence Resident Agency. While in the Boston office, he
supported investigations involving financial crimes, public corruption, organized crime, drugs, and
counterintelligence. Mr. D’Antuono received an appointment as a Special Agent in July 1998 and was
subsequently assigned to the Washington Field Office after graduating the FBI Academy. While in
Washington, he investigated public corruption and white collar crime. Mr. D’Antuono’s next assignment was
Supervisory Special Agent (SSA) at the FBI Academy as the White Collar Crime (WCC) Instructor. In this
capacity, he instructed New Agents, Intelligence Analysts, National Academy students and on –board
employees in all aspects of WCC, case management and terrorism financing. Mr. D’Antuono was then
promoted in January 2008 to SSA in the Washington Field Office and supervised the District of
Columbia/Federal public corruption and government fraud squad where he oversaw several of the FBI’s
largest public corruption investigations. In July 2014, Mr. D’Antuono was selected as the St. Louis Field
Office’s Assistant Special Agent in Charge responsible for all Criminal Investigative Programs, SWAT, and
numerous Resident Agencies as well as Administrative Programs including Security, Training and Finance.
While in St. Louis, Mr. D’Antuono oversaw the Michael Brown/Darren Wilson Civil Rights investigation as well
as the crisis responses during the Ferguson, Missouri unrest and the Jason Stockley unrest in St. Louis City.
Mr. D’Antuono currently serves as the Section Chief of the FBI’s Financial Crimes Section within the Criminal
Investigative Division. He currently oversees all aspects of WCC for the FBI including Corporate Securities
and Commodities, Economic Crimes, Financial Institution Fraud, Money Laundering, Health Care Fraud,
Intellectual Property and Forensic Accountant Programs. Prior to his appointment to the FBI, Mr. D’Antuono,
worked as a Certified Public Accountant developing an expertise in auditing, forensic accounting, and
taxation.

Monica Daggs is Chief Administrative Officer at CUSO Financial Services, LP (CFS) and Sorrento Pacific
Financial, LLC (SPF). She has oversight of Trading Services, Operations, Transitions, and Commission
Departments. Ms. Daggs has more than 20 years of industry experience in Operations, Compliance, Legal,
and Internal Control with a strong background working with financial institutions and independent contractor
models. Having joined SPF & CFS in 2005 to oversee the internal control and supervisory structure of the
firm, Ms. Daggs has also directly overseen Compliance, Internal Control and Registration. Prior to joining
SPF & CFS, Ms. Daggs was responsible for day-to-day management of advisory compliance for LPL
Financial with a focus on system automation and internal surveillance. She previously served as the FINRA
District 2 Representative for large firms and has served on the FINRA Regulatory Advisory Committee. Ms.
Daggs received her bachelor degree from the University of Illinois.

                                        © 2019 Financial Industry Regulatory Authority, Inc. All rights reserved.   10
Kosha Dalal is Associate Vice President and Associate General Counsel with FINRA’s Office of General
Counsel. In this role, she provides legal guidance on various policy initiatives and rule changes /
interpretations including, supervision, non-cash compensation, branch office, customer account statements,
payments to unregistered persons and corporate actions. She has been with FINRA’s Office of General
Counsel since 2000. Prior to coming to FINRA, she was an associate with the law firm of Venable in Baltimore,
MD, Kalkines Zall in New York, NY and Skaden Arps in New York, NY. Ms. Dalal attended Columbia
University in New York, NY where she received a bachelor’s degree in political science and economics. She
received her law degree from Brooklyn Law School.

Pramit Das is Associate Director-Technology of FINRA’s Advertising Regulation Department. In this role, his
responsibilities include managing a filings review group; assisting with administration of the filings review
program; developing and maintaining the department’s technology needs; providing education to members,
FINRA staff and other regulatory staff; and participating in certain rule amendment and rulemaking projects
as necessary. He served in the same role at NASD before its 2007 consolidation with NYSE Member
Regulation. Prior to joining NASD in 1994, Mr. Das worked for Metropolitan Life Insurance Company and
Arthur Andersen & Co. He holds an MBA in Finance from the University of Maryland, College Park, and an
MA in Financial Economics from Clemson University, Clemson, South Carolina. He was also Series 7 and 63
registered.

Amy Davine Kim is Chief Policy Officer for the Chamber of Digital Commerce. Prior to joining the Chamber,
she advised financial institutions, blockchain-based companies, marketplace lenders, investors and
innovators regarding compliance obligations under financial services laws. In particular, she has advised on
the Bank Secrecy Act and anti-money laundering requirements, the regulations and sanctions programs
administered by the Office of Foreign Assets Control. She has also advised on state money transmitter laws
implemented by state banking departments, and related consumer financial protection laws. She is a regular
speaker on these issues, particularly as they relate to blockchain-based businesses and technologies. During
her career, Ms. Davine Kim has also advised companies on cross-border anti-bribery and trade-related
compliance matters, and advised investors in their investments in hedge, private equity and real estate funds.
She has also assisted companies in advocating before the U.S. Congress and other U.S. government
agencies.

Gregory J. Dean, Jr. is Senior Vice President of the Office of Government Affairs at FINRA. Before joining
FINRA, Mr. Dean was Senior Director of Regulatory & Government Affairs at the Royal Bank of Canada
(RBC). Before joining RBC in 2015, he served for more than 14 years in a variety of roles on Capitol Hill,
including serving as Chief Counsel for three separate committees in the U.S. Senate including on the Banking,
Housing and Urban Affairs, Health, Education, Labor and Pensions, and Budget Committees. He also was
Staff Director for the Securities Subcommittee of the Senate Banking Committee. In addition, he was the
Finance Counsel for the U.S. House Committee on Small Business and the Banking Counsel for the Senate
Committee on Small Business and Entrepreneurship. Prior to his Congressional career, Mr. Dean was an
attorney in the Office of the General Counsel at FINRA's predecessor, NASD Regulation. He began his career
at the U.S. Small Business Administration, Office of Advocacy.

R. Scott DeArmey is District Director of the Kansas City District Office of FINRA where he is responsible for
regulatory oversight of FINRA member firms, branch offices, registered representatives and associated
persons located in seven states throughout the Midwest: Iowa, Kansas, Minnesota, Missouri, Nebraska, North
Dakota, and South Dakota. Mr. DeArmey began his FINRA career 29 years ago as an examiner in the Atlanta
District Office and has participated in a variety of examinations and investigations involving brokerage firms
and registered representatives. He has been in management positions for 22 years and has also been
involved in various regulatory and educational initiatives including developing and teaching supervision
courses at the FINRA Institute. He received his Finance degree from Georgia State University and is a
graduate of FINRA’s Leadership Program at Wharton.

Gene DeMaio is Senior Vice President in FINRA’s Market Regulation Department where he manages the
Options Regulation and Trading and Financial Compliance Examinations programs. Prior to joining FINRA,
Mr. DeMaio was an Options Market Maker at the American Stock Exchange, and earlier worked as an
attorney at the law firm of Kord Lagemann where he represented complainants in securities arbitration
disputes. Mr. DeMaio is a graduate of Fordham Law and earned his LL.M at New York University.

Danielle Derrick is Associate Director in FINRA’s Office of the Ombudsman. Ms. Derrick works informally
with a cross-section of securities industry stakeholders, including broker-dealers, issuers, registered

                                        © 2019 Financial Industry Regulatory Authority, Inc. All rights reserved.   11
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