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Regulatory & Compliance Summit Speakers
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Speaker Biographies

 

Louis Dempsey, is the founder and President of Renaissance Regulatory Services, Inc. (RRS) a full service regulatory compliance consulting firm. Mr. Dempsey has over thirty years of public/private sector regulatory, compliance and operations experience, which includes a unique combination of experience advising broker-dealers, investment advisors and bank holding companies on matters including federal, state, and self-regulatory rules and regulations. Prior to founding RRS, Mr. Dempsey’s regulatory career included management positions with the State of Florida Division of Securities and the US Securities and Exchange Commission.

 

 

Matthew Dougherty is a Compliance Manager at Huntington Financial Advisors (HFA). He has over a decade of experience in legal- and compliance-related matters in the financial services industry, including securities law and FINRA/SEC regulatory compliance. He also has half a decade of experience in Bank Secrecy Act/Anti-Money Laundering (BSA/AML) compliance. Mr. Dougherty has been asked to speak with state representatives regarding efforts by financial institutions to combat elder financial exploitation. He also helped develop the compliance framework for HFA’s elder financial exploitation protection process under FINRA Rules 2165 and 4512. Mr. Dougherty recently returned to HFA Compliance after a year managing a Corporate AML/BSA team responsible for, among other things, 314(b) requests, criminal subpoena and National Security Letter reviews, case investigations that led to SAR filings, and BSA/AML-initiated closures.

 

 

As a Director of U.S. Bank Wealth Management AML program, Kenneth Cherrier is responsible for the division’s day-to-day AML Enterprise Risk Management function with a Three Lines off Defense program. He has held numerous positions in the financial industry including, Chief Compliance Officer of Comerica Securities responsible for the bank’s broker-dealer and RIA compliance function and Chief Supervisory Officer of Waddell & Reed where he was responsible for the initiative of internalizing field supervision and creating a multi-tiered supervision platform for the firm. Kenneth has also held positions with numerous firms as a Chief Compliance Officer, Regulatory Compliance Officer, and numerous other Operations and Compliance positions. Kenneth has drawn on his experience in these fields and integrated his legal education and sales experience to create Supervisory and Compliance platforms that are responsive to today's turbulent regulatory environment and fair for both the client and the financial advisor. Taking a "stewardship" approach to the industry, Kenneth acts as a FINRA arbitrator and FINRA hearing panelist and is an active member of numerous industry associations, including the BISA RCE Committee. He has sat on the Board of the National Association of Compliance Professionals (NSCP) and has twice served as a member of the FINRA District 4 Committee, sat on FINRA's Regulatory Affairs Committee and Continuing Education Committee. In addition to working as an Instructor at Wharton for FINRA's Certified Regulatory Compliance Professional (CRCP) certification, Kenneth has taught Securities Broker-Dealer Regulation at William Mitchell College of Law as an adjunct legal professor. Some of the certifications and registrations he has held or currently holds are: Minnesota Insurance License, Series 4, 7, 9, 10, 24, 53, 65 and 66 and the Fellowship of Life Management Institute (FLMI). Kenneth graduated from the University of Minnesota with a Bachelor of Science Degree in Economics with a Math emphasis. He obtained his Juris Doctorate from William Mitchell College of Law in St. Paul Minnesota.

 

 

Lourdes Gonzalez is Assistant Chief Counsel for Sales Practices in the Division of Trading and Markets at the U.S. Securities and Exchange Commission.  The Office of Sales Practices has program responsibility for a broad range of broker-dealer sales practice issues, including Regulation Best Interest and Form CRS, as well as broker-dealer supervision, anti-money laundering compliance, and securities arbitration.  The Office also has program responsibility for business conduct obligations of security-based swap dealers. 
 
During her tenure, Ms. Gonzalez has received numerous SEC awards, including the SEC’s Distinguished Service Award in 2017, which is the SEC’s highest honorary award and given annually to recognize employees or teams who have made substantial and lasting contributions to the SEC’s mission.  Prior to joining the Commission, Ms. Gonzalez worked at the U.S. Department of the Treasury.   She earned her law degree from George Washington University and her undergraduate degree from Georgetown University.
  
 

Elizabeth Hill is a Deputy General Counsel, Senior Vice President & Assistant Secretary at The Huntington National Bank. She leads a team of lawyers responsible for supporting the Private Bank as well as its affiliate broker-dealer and registered investment adviser, The Huntington Investment Company. Prior to joining Huntington in 2016, Elizabeth was a securities litigator and Partner at Ulmer & Berne LLP, a law firm based in Cleveland, Ohio, where she specialized in representing financial institutions in court litigation, arbitration and regulatory proceedings. Elizabeth holds a Bachelor of Science in Business Administration from The Ohio State University and Juris Doctor from Cleveland-Marshall College of Law, Cleveland State University. She previously held the FINRA Series 7 and 66 securities licenses.

 

 

Zachary Knepper joined the North American Securities Administrators Association (NASAA) as Deputy General Counsel in May 2016. Mr. Knepper advises NASAA and its members on federal and state regulatory issues, prepares NASAA amicus curiae briefs and regulatory comment letters, and speaks at training events and conferences. Prior to joining NASAA, Mr. Knepper worked for twelve years as an attorney at two law firms in Washington, DC, where his practice focused on defending securities enforcement matters and advising registered investment advisers and broker-dealers. Mr. Knepper earned his J.D. cum laude from the University of Illinois College of Law, and after law school earned an LL.M. in securities and financial regulation with distinction from the Georgetown University Law Center. Mr. Knepper received his undergraduate degree from the United States Military Academy at West Point and, prior to law school, served for five years as a field artillery officer in the U.S. Army.

 

 

 

 Barbara Mallon is a principal in the law firm of Mallon & Johnson, a firm concentrating its practice in securities regulation and litigation. Prior to co-founding Mallon & Johnson, Ms. Mallon worked at the SEC for almost 10 years. Ms. Mallon’s practice is focused exclusively on advising investment advisers and broker-dealers for the purpose of maintaining regulatory compliance for those entities. She has been an Independent Consultant for the SEC numerous cases. Ms. Mallon has achieved the recognition of SuperLawyer for the past four years and is listed in the National Registry of Who's Who, the Bar Registry of Preeminent Lawyers, the Bar Registry of Preeminent Women Lawyers and has an AV rating from Martindale Hubbell. She has published numerous articles on SEC Enforcement, Insider Trading, Soft Dollars, and Investment Adviser Regulation, and presented on various topics concerning the same at BISA seminars and conventions.

 

 

 

Ben Marzouk is a financial services attorney who advises broker-dealers and investment advisers on compliance with federal and state securities laws, including Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) rules and regulations. Ben represents registered investment companies and investment funds in regulatory matters and helps clients navigate the complex rules governing capital-raising activities, as well as public and private securities offerings.

With a deep knowledge of the financial services and asset management industries, Ben’s regulatory experience also extends to anti-money laundering compliance, digital currency transactions and initial coin offerings (ICOs), crowdfunding, and corporate mergers and acquisitions. Ben also advises broker-dealers and other financial services intermediaries on the distribution of a wide variety of investment products, such as equity stocks, corporate and municipal bonds, mutual funds, insurance contracts, variable annuities, and other alternative investment products, including cannabis-related investment funds.

 

 

Thomas M. Selman is Executive Vice President, Regulatory Policy, and Legal Compliance Officer of FINRA. He oversees the departments of Corporate Financing, Advertising Regulation, the Office of Regulatory Analysis, and the Office of Emerging Regulatory Issues. Tom joined the organization in 1996.


Mr. Selman also holds the Chartered Financial Analyst® designation.


From 1992 to 1996, Mr. Selman was Associate Counsel at the Investment Company Institute, a trade association for the mutual fund industry. Prior to that time, he served as Special Counsel in the Office of General Counsel at the United States Securities and Exchange Commission, a position he held beginning in 1987. Tom was an Attorney-Advisor to the European Union in Brussels, Belgium, from 1986 to 1987. In addition to his career accomplishments, Mr. Selman has authored articles that were published in Investment Lawyer, The International Lawyer and Insights.

 

 Mark Zinder is a futurist and leading trend forecaster specializing in the areas of finance and economics. As a seasoned keynote speaker, he has traveled the globe delivering more than 2,000 presentations to hundreds of thousands of people around the world. He is also a regular guest on Fox Business and CNBC, sharing his expertise and positive outlook while tackling tough questions on the future of the global economy. Mark’s extensive background spans 35 years and includes being the National Spokesman for Franklin Templeton. During that time, he worked side-by-side with Sir John Templeton, Dr. Mark Mobius, and Mr. Michael Price to hone his ability to spot trends before they become obvious. Laughing is the key to learning, and connecting with your clients is the key to success. Mark’s high-energy presentation focuses on these elements and motivates you to think differently to achieve success in today’s constantly changing world.

 

 

 

 

 

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