Spring 2017 Compliance Conference: Managing Uncertainty :: Speakers
Spring 2017 Compliance Conference: Managing Uncertainty
Gaylord Opryland Resort, Nashville, TN May 1 - 3 2017
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Speakers


Speakers at the NRS 2017 Spring Compliance Conference include:
 

  • Karen Aavik, Senior Vice President / Director – Corporate and Wholesale Practices, KeyBank, N.A.

  • Karen Barr, President and CEO, Investment Adviser Association

  • Joseph Borg, Alabama Securities Commissioner and NASAA President-Elect, NASAA

  • Anne Buckley, General Counsel and Managing Director – Equity Research and Sales, Arthur W. Wood Company, Inc.

  • Dawn Calonge, Surveillance Director, FINRA

  • Lynn R. Corthell, CCO, VP Operations and Administration, Wooster Corthell Wealth Management, Inc.

  • Mederic Daigneault, Director, Consulting OperationsNRS

  • Ruth Delaney, Associate, K&L Gates LLP

  • M. Owen Donley III, Chief Counsel, Office of Investor Education and Advocacy, U.S. Securities and Exchange Commission

  • James Downing, Director of Central Wealth Compliance, BMO Wealth Management US and Chief Compliance Officer, BMO Harris Financial Advisors Inc.

  • Victor Fyre, Chief Compliance Officer, ProShares Advisors Inc.

  • John Gebauer, President, NRS

  • Seth Gelman, CCO and Regulatory Counsel, Brookfield Investment Management Inc.

  • Ariel Gursky, Associate, Morgan Lewis & Bockius LLP

  • Daniel Kahl, Chief Counsel, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

  • Richard Kerr, Partner, K&L Gates LLP

  • Elizabeth Knoblock, Managing Member, Elizabeth M. Knoblock, PLLC

  • David Lui, Co-Editor, Modern Compliance and Principal, Galliard Capital Management

  • Richard Marshall, Partner, Katten Muchin Rosenman LLP

  • Max Mejiborsky, Director, Private Fund Securities/Senior Consultant, NRS

  • Mike Mena, Associate Consultant, NRS

  • Marilyn Miles, Vice President, ConsultingNRS

  • Tammy Patel, Senior Consultant, NRS

  • Richard Seepersaud, Director, Compliance Officer, TIAA

  • Ethan Silver, Partner & Chair, Broker-Dealer Practice, Lowenstein Sandler, LLP

  • Larry Stadulis, Partner, Stradley Ronon Stevens & Young LLP

  • Robert Stirling, Executive ConsultantNRS

  • Jennifer Sullivan, Consultant, NRS

  • Amber Tatman, Consultant, NRS

  • David Tittsworth, Counsel, Ropes & Gray LLP

  • Steve Trigili, CCO and AMLCO, Garden State Securities, Inc.

  • Eric Vercauteren, Senior Director, Contract Strategy & Negotiation, Galliard Capital Management, Inc.

  • Tim Villano, Chief Information Officer, Artemis Global Security, LLC

  • Kurt Wachholz, Executive Consultant, NRS

  • John Walsh, Partner, Eversheds Sutherland (US), LLP

  • Noula Zaharis, Director, Securities & Charities Division, Office of the Georgia Secretary of State

  • Yasmin Zarabi, Vice President, Legal and Compliance, Hearsay Systems

     


 

Exhibitors
  • Broadridge
  • Chicago Clearing Corporation
  • Starkweather Shepley
  • TD Ameritrade
  • Vertafore
  • Global Relay
Testimonials
  • Great Conference - as always!
    Laura Hawkins, Managing Director, Winslow Capital Management
  • This was my first conference and found it beneficial and will be attending more in the future
    Diane Murphy, VP/Compliance Officer, Global Trust Company
  • I highly reccomend NRS.  The programs they offer are the best in the industry.
    Joan Marie Asher, COO/CCO, Moody Alrich Partners
  • This is the third NRS Conference I have attended.  All have been very good, but this one was terrific.
    Annette Bradley, CCO, Davidson and Garrard, Inc
  • Good program, very informative
    Taylor Brewer, Comptroller, LD Lowe Weath Advisory