Stephen Kohn has been employed in the financial services industry since 1984, to which he has devoted most of his working life.

Mr. Kohn founded, owned and operated a FINRA small member firm, Stephen A. Kohn & Associates, Ltd. (SAKL) located in Lakewood, Colorado since 1996. On January 1, 2020 ownership of SAKL was turned over to DMK Advisor Group, Inc. (DMK). He has assumed the role of president of DMK and, will continue as such well into the future.

In 2017, Mr. Kohn was elected by the Small Firm Membership to the FINRA Board of Governors to represent Small Firm interests and issues at the highest levels. He served on the Regulatory Policy and Audit Committees.

He has been twice elected to the National Adjudicatory Council (NAC) by FINRA's small firms, first in 2009 and again in 2014. The NAC is FINRA's appellate division, hearing appeals to enforcement decisions and other issues.

While on the NAC, Mr. Kohn served on the Sanction Guideline Review and Revision Sub-Committee. This sub-committee was convened to review the Sanction Guidelines to ensure that sanctions in appeals that are upheld by the NAC are fair and appropriate and to recommend revisions as needed. He is also an industry arbitrator and has served on the District 3 Committee.

Mr. Kohn holds the following securities licenses: Series, 7, 14, 24, 53, 63, 72, 73, 79 and 99. He graduated from C.W. Post College of Long Island University in 1964 with a BA degree. He has served in the U.S. Coast Guard.

I am the founder and CEO of March Capital Corporation and have over 40 years of experience in the investment industry. I acquired the firm that became March Capital in 1993. Through its first 20 years it was my vehicle through which I raised capital from high-net-worth investors to participate in hedge funds, and capital raises for early-stage entities. I am proud to note that those early-stage entities at last count had created over 3,000 American jobs. Over the past decade plus March Capital has grown to number 30 bankers who focus strictly on middle-market private transactions. Most of our activity centers on M&A, growth capital, managed fund capital raises, and a limited amount of early-stage and start-up. Capital typically is sourced from ultra-high-net-worth or family office investors, or institutions. We present opportunities to a limited number of accredited angels.

I believe in the need for well regulated markets, and competitive markets. I also believe that the role that firms like March play is an essential service in a robust capitalist economy. And while there is a simple logic in one rule book fits all, I grow more convinced by the day that we are burdened with many regulations which have lost sight of a key objective of why we and the regulators exist: facilitating the flow of capital to new and growing companies from investors willing to take the inescapable risks. There is nothing that says the current disconnect has to change. I only assert the economy and our society will be better off if it does.

Elton Johnson, Jr., Non-Executive Chairman of Amerivet Securities, Inc., has been a Registered Representative since 1977. He currently holds the following securities licenses: Series 4, 7, 14, 24, 27, 52, 53, 57, 63, 65, 79, and 99; a total of twelve licenses.

Elton Johnson, Jr., is a graduate of the University of Notre Dame (1976; same class as Rudy from the 1993 movie about Notre Dame) where he was a Notre Dame Scholar, a Hall President (Dillon Hall), and Chairman of the Hall Presidents' Council (HPC). He majored in finance, graduating with a bachelor's degree in business administration. He is currently enrolled in American Military University where he is pursuing his master's in business administration with an emphasis on entrepreneurship.

Immediately after graduating from college, Elton Johnson, Jr., enlisted in the United States Marine Corps Reserve. He served in the 4th Marine Division as an artilleryman for two years before he obtained a conditional release and a lateral transfer to the U.S. Army in order to volunteer for U.S. Army Special Forces training (the "Green Berets"). He served in the 19th Special Forces Group (Airborne) and the 12th Special Forces Group (Airborne) where he was trained as a Communications Specialist and cross-trained as a Heavy Weapons Specialist (He spent five years in U.S. Army Special Forces as an enlisted man and five years as an officer; however, he did not complete the Special Forces Qualification Course). In 1985, he was commissioned as a Second Lieutenant in the Armor Branch. He is currently a Lieutenant Colonel in the Infantry Branch (Airborne Infantry) in the U.S. Army Retired Reserves (USARR). After 9/11, he was immediately called up for active military service and served two tours of combat duty in Iraq and one tour of combat duty in Afghanistan (along with four deployments to non-combat zones for a total of seven deployments during the Global War on Terror (GWOT)). His military awards include the Bronze Star Medal (the fourth highest US military award), the Defense Meritorious Service Medal, and the US Army Combat Action Badge (CAB). As a US Army paratrooper, he also earned Canadian and Afghan Paratrooper Jump Wings. He is a disabled U.S. veteran and an advocate for veterans' rights. In 2010, he was the motivating force behind the passage of a California law that assists California citizen-soldiers in maintaining their businesses while deployed on active military duty (This law became known as "Major Johnson's law").

Elton Johnson, Jr., who is a decorated disabled combat veteran, started AmeriVet Securities, Inc., in 1993 with just a borrowed $1000. After operating his company by himself for 25 years, he teamed up with equity investors in 2018. Today, AmeriVet Securities, Inc., is a multimillion-dollar financial services firm with annual revenues averaging over seven figures per year. He is a Certified Independent Entrepreneur (CIE), a designation he created, trademarked, and is now working to market nationwide with help from Entrepreneur.com. He is currently working on a book about entrepreneurship and pitching a movie idea to Hollywood regarding making a movie about his first combat tour in Iraq.

An Arizona native and began working in finance with Bank of America in 1990. He became one of the highest producers of loans (mortgages and consumer) and other banking services in the Arizona. He became securities licensed in April of 1997. He left Bank of America in late 1999. In January of 2000, at 28, he opens his own financial planning firm, Burris Financial Services, Inc. In June of 2010, he became a Vice President for JP Morgan Chase. He was a registered representative and investment advisor representative. He grew an investment portfolio from roughly $10 million to $100 million in only 2.5 years. He was one of the highest net new money producers in Arizona and the nation.

In November of 2012, Mr. Burris was wrongfully terminated. He now owns his own firm, Burris Wealth Management, Inc. During his career, Mr. Burris worked in many age restricted retirement markets. Mr. Burris is also a licensed real estate broker who was originally licensed in 2000. He was also a licensed insurance broker; although, he no longer retains that license. Mr. Burris' did attend Phoenix College as a President's Scholarship recipient, but he does not have a college degree. However, he has something much more important, a real world, well diversified experience with securities, insurance, real estate, mortgages, and tax planning. He also understands many issues whistleblowers may face when trying to tell the truth. His commitment to helping retirees and Americans is evident. As of January 2023, JP Morgan has paid approximately $1.2 billion directly related to their use of proprietary products.

Glenn D Capel is a third generation Overcomer, Husband and Father of 2 living in Maryland and North Carolina. He is the CEO and Founder of X-Factor Global, LLC, a National Minority Supplier Development Council and Certified Minority Business Enterprise Small Business committed to Excellence by focusing upon Principles and Practices in Pursuit of Masterful Excellence. In 2008 Glenn structured a $12 Billion Investment Banking SPV Infrastructure deal previously at Merrill Lynch with a Foreign Country in Africa. An integral member of the Investment Steering Committee, Glenn has helped many Merrill Lynch Advisors as a Fiduciary to create and formalize strategies towards their expectancy of The Largest Racial Discrimination Lawsuit on Wallstreet against Merrill Lynch for $160 Million Settlement Award.

As a Force of Excellence Glenn expects to share the Full Spectrum of Wealth and Wisdom striving to share intellectual energy, expertise and the strategies of God's Grace thru multiplied steps of Greatness. A Former Senior Private Wealth Management Advisor/CFM with Merrill Lynch Glenn became the Trusted Advisor of choice for Physicians/Healthcare Executives who required a Full Spectrum of Abundance within Comprehensive Wealth Management. Glenn served as the regional coordinator for ML Commercial and ML Capital for pitching private finance deals. Glenn created and assisted the implementation of the Diversity Top 50 Mutual Fund offerings distribution. Glenn helped to develop (HBCU's) Historically Black Colleges and Universities as (HUB's) Historically Underutilized Business Hub within Institutional Endowment programs at Merrill Lynch. Glenn was selected and served on the ML Preferred Advisory Group for the management and honor to become a managing steward of money for NFL & NBA Professional Athletes.

Glenn works with clients as a Global Business Consultant, Accredited ESG Auditor, IBBA M&A Business Intermediary, and Commercial Real Estate Broker where he helps them access top screened direct investments. Glenn's team operates in all 50 states and 3 different countries. Glenn operates on the essential business imperative ESG/DEI platform which allows ESG/DEI to be integrated across the firm. Glenn is "super focused" on advancing Allyship with Investors, and Business/Building Owners. Everybody needs and wants an Ally… Glenn is your X-Factor! It's his competitive advantage.

Glenn has an undergraduate degree in Corporate Business Communications, a Dual Executive MBA/MHA and has studied post-masters to become Certified in Blockchain Technology & Certified in Cryptocurrency. Glenn is also a member of New Law Business Model (NLBM) Personal Family Estate Planning Lawyers Online Group. Glenn remains a Lifelong Super-learner, hungry to become Masterful on his journey to make things right with Excellence.

Every time someone/something has attempted to put their foot on the neck of my ambitions, I have successfully risen above his circumstances, popping up somewhere else, better than before! Glenn Expects with pregnant Expectancy to Deliver the Best Outcome for his clients. Never Quit Never Give Up!

Ron has been a fixture in the financial industry for over 20 years. Beginning as a registered representative, he was promoted to Regional Vice President for a company which was owned by Citigroup where he ran an office and oversaw 30 people for a decade before moving exclusively into the recruiting arena.

In 2012, he founded Millennium Career Advisors, a recruiting firm dedicated to the recruitment of experienced financial advisors and private bankers for a stable of over 30 client firms. Consistently ranked among the top recruiters in the country for that niche, Mr. Edde specializes in assisting financial advisors identify and evaluate their options for growth and advancement.
A consistent interviewee and contributor to a variety of investment publications including Barron's, InvestmentNews, FA IQ and AdvisorHub, Mr. Edde is well-versed in a wide array of issues of importance to financial advisors and their practices. Studied Business Administration and Political Science at the University of Missouri, Kansas City Former President of the North Coast Chamber of Commerce in Encinitas, CA Maintains securities and principal licenses through FINRA
Resides in Henderson, Nevada

Kenneth Finnen is an executive with 35 years of experience within the financial services industry, and nearly two decades of expertise in managing the compliance and regulatory functions of broker-dealer and investment advisory firms.

Currently, Ken is the Chief Compliance Officer of Norfolk Markets, a New York-based Broker-Dealer.

In addition, Ken is the Founder and CEO of Capital Advantage Tutoring, a tutoring firm specializing in the preparation of financial licensing exams. His firm runs the #1 FINRA and NASAA examination prep channel on YouTube, and they have over 15,000 active members who benefit from their expertise.

Ken began his career as an equity trader on the floor of the New York Stock Exchange working for a variety of firms, including Credit Suisse and Bank of America. He currently holds the following FINRA licenses: S3, S4, S7, S9, S10, S14, S25, S57, S63, and S66.

Gontran de Quillacq is a leading authority and thought leader in options, derivatives, structured products, complex financial instruments and financial markets. He has 25 years of experience in trading, portfolio management and investment research. He has worked with top-tier banks and hedge funds in both London and NYC.

de Quillacq is a recognized financial instruments and securities litigation securities expert with a deep and current industry know-how, as well as an exceptional background.

After his European and US education, Mr. de Quillacq traded derivatives for 25 years, from vanillas to exotics, both proprietary and client-facing, at top-tier banks in the square mile and on Wall Street. As a portfolio manager, he researched and managed investment strategies, delivered both in hedge fund and in structured note formats.

For the following five years, Mr. de Quillacq ran due diligence on investments strategies and selected senior investment personnel for some of the world's most famous and most demanding hedge funds and asset managers. In 2017, he co-founded a quantitative activity deploying the latest machine learning techniques in global long/short equities. In 2019, Mr. de Quillacq was the quantitative researcher and COO of a NY-based volatility trading hedge fund. Mr. de Quillacq is the President of Pyrite Risk Experts, which deploys an AI-driven technology to detect lies and deceit in hedge fund investments.

Shah Gilani, in addition to being editor of TotalWealthResearch.com, Money Map Report, and Capital Wave Forecast newsletters has been a regular weekly guest for over ten years on Fox Business News channel's Varney & Co. and Making Money With Charles Payne.

Shah's experience and knowledge uniquely qualify him as an expert in global capital markets. He studied economics at the University of California, Los Angeles and ran his first hedge fund in 1982 from his seat on the floor of the Chicago Board of Options Exchange. When the OEX (options on the Standard & Poor's 100) began trading on March 11, 1983, Shah was in the pit as a market-maker and along with other noted CBOE traders helped codify implied volatility measures which later became known as the VIX (volatility index). He left Chicago to run the futures and options division in the treasury of British banking giant Lloyds Bank. Shah went on to originate and run the packaged fixed-income trading desk for Roosevelt & Cross Inc., a New York municipal bond and investment-banking boutique firm, then established that company's listed and OTC trading desks. Shah started another hedge fund in 1999 concentrating on arbitrage and systematic trading. Shah subsequently retired from the money management business to run his family office and finally learn to play golf.

Joe Gasperetti is a New York trial and arbitration lawyer. He founded the Law Offices of Joseph E. Gasperetti on April 1, 1995 (the "Firm"). The Firm primarily represents securities industry firms, securities industry professionals and investors in litigation, arbitration and investigations instigated by the Department of Justice, the SEC, FINRA, and state authorities.

Joe is a graduate of Columbia University and the Boston University School of Law.

Joe is admitted to practice in the State of New York, the United States District Courts for the Southern and Eastern Districts of New York, and the United States Court of Appeals for the Second Circuit. Joe has also been admitted pro hac vice to numerous courts across the nation.

Over the years, the Firm has been extremely active in litigation, arbitration and regulatory inquiries. Some of the Firm's recent major assignments include:

(A) representation of a registered investment advisor and its CEO in connection with complex issues arising from a multimillion dollar defalcation perpetrated on the RIA and some of its customers by its former COO. Joe managed the crisis by (1) assisting the RIA in retaining forensic accountants so that restitution to the affected customers could be made almost immediately, (2) self-reporting the defalcation to the SEC, and (3) cooperating closely with federal law enforcement authorities as they prosecuted the wrongdoer COO. Notably, the SEC took no action against the firm or its CEO. Joe also commenced a federal action against the RIA's former accountants which alleged both fraud and malpractice. That action entailed large scale document and ESI production, numerous depositions, extensive expert discovery and dispositive motion practice. The action resulted in a very favorable settlement for the RIA on the eve of trial.

(B) representation of a defrauded investor in protracted and complex proceedings before FINRA arbitration panel. The arbitration arose from the investor's unsuitable purchase of illiquid private placement investments costing one million dollars from a FINRA member firm. The investments were sponsored by a so-called private equity firm, whose principals were subsequently indicted by a federal Grand Jury for wire and securities fraud. After extensive document and electronically stored information discovery, and after four hearing days, the Arbitration settled on terms very favorable to the investor.

Joe has tried numerous arbitrations to award, and has first seat tried both bench and jury trials.

Dochtor D. Kennedy "Doc" is the President & Founder of AdvisorLaw, LLC., "the 800-pound gorilla," in the field of representing individual advisors eliminating false or erroneous allegations from their professional records. With over 2,200 such disclosures eliminated from the CRD System in the last 5 years, AdvisorLaw's footprint exceeds that of all others combined.

Although not as widely publicized, Doc's firm also specializes in advocating for and negotiating on behalf of financial professionals subject to inquiries and investigations by regulators, as well as those who have been wronged by prior employers and firms. Doc's team facilitates the efforts of advisors seeking to transition firms, develop and implement succession plans, grow through their businesses' acquisitions, and market their businesses for sale. AdvisorLaw's fastest-growing offering serves new and existing registered investment advisors (RIAs) in everything from setup and registration to ongoing compliance. Doc and his team support RIAs with mock audits, private-fund registration, and cybersecurity, and AdvisorLaw's RIA division even offers an outsourced CCO service for RIAs.

After graduating from the University of Minnesota with a double major in Finance and Management Information Systems and earning his Bachelor of Business Administration (BBA) in 2003, Doc obtained Series 7, 63, and 55 licenses while pursuing his Masters of Business Administration (MBA) from Keller Graduate School of Management in Scottsdale, Arizona. In 2012, Doc graduated from the University of Denver, Sturm College of Law with his Juris Doctorate (J.D.). Admitted to practice law in the state of Colorado in May 2013 (Attorney Registration No. 45851), Doc created AdvisorLaw after two-and-a-half years of vigorously representing individuals in opposition to regulators, financial institutions, and government.

In accordance with his commitment to the advancement of individual advisors, Doc has represented over 1,100 advisors in the FINRA Dispute Resolution arbitration forum — in matters resulting in awards on the merits. Having earned a reputation for publicly and relentlessly pressuring regulators to acknowledge and consider the impact of regulations and policy changes on individuals, Doc operates on the cutting edge of advocacy for individual advisors.

In his personal life, Doc enjoys the myriad outdoor adventures that Colorado has to offer. An avid rock climber, rafter, and hiker, Doc also builds and restores cars and competes in long-range precision rifle and International Defense Pistol Association matches. Doc's favorite time is spent with his wife, and three-year-old daughter, and his three dogs. The family loves spending weekends at their cabin in the mountains, and his daughter is looking forward to learning to ski next winter.

Michael King is President of Michael King Associates, a Management, Consulting, and Executive search firm specializing in retail brokerage. The firm has been in business for thirty-two years and specializes in placing retail brokers nationwide. Prior to forming Michael King Associates, Mr. King was employed at Richards Consultants for four years, a Management, Consulting, and Executive search firm, specializing in financial services. He has been quoted in national publications, such as The New York Times and The Wall Street Journal, as well as and trade publications, such as On Wall Street and Registered Rep Magazine. The publications are highly regarded among brokers across the country.

Upon graduation from the Smeal College of Business at Penn State University, I immediately joined a wealth management firm in Philadelphia looking to help families navigate the complex world of financial services through honest advice and fiduciary responsibilities.

Unfortunately, I found I was working at a brokerage firm where commission-based sales tactics and non-fiduciary investment recommendations ran rampant. It opened my eyes to the extent to which individuals can be driven by incentives. I was quickly introduced to a world filled with immense inefficiencies and gaps between clients' best interest and their brokers' recommendations (commissions).

After a short tenure with that firm, I pledged to dedicate my career towards helping people holistically under a fiduciary lens, to ensure proper portfolio management and prudent recommendations. This fueled me to find transparency in the industry and search for others that shared a similar mindset, which is how I came to follow Barry Ritholtz and Josh Brown. I joined Ritholtz Wealth Management to be a part of the new age of financial planning and truly put clients' best interests first, so they may reach their financial goals and achieve financial independence.

I am Certified Financial Planner, Sr Advisor, and Partner at Ritholtz Wealth Management where I help families manage their assets and achieve their financial goals.

When I am away from the office, I enjoy health & fitness activities with my wife in Hoboken, New Jersey.

Aegis co-heads the Financial Markets Practice Group of Stern Tannenbaum & Bell in New York City.

Although his past and present clients include very large public companies, he is especially interested in representing smaller and mid-sized firms and individual investment professionals, all of whom are chronically under-served by BigLaw. Aegis now divides his practice between advocacy and counseling. As an advocate, Aegis has over 40-years' experience litigating and arbitrating complex corporate, commercial and securities disputes, including jury and non-jury trials in state and federal trial courts, SEC investigations and administrative hearings, FINRA investigations and enforcement proceedings, and FINRA, AAA, JAMS, FedArb and other arbitrations. His counseling work focuses on assisting start-ups in the financial and fintech sectors, private equity funds, investment advisers and their principals to ensure their business structures, compliance programs, operations, and disclosures are properly documented and effectuated. Aegis believes the two sides of his practice inform each other, and make him more sensitive as an advocate to the business realities behind a dispute, and as a counselor to the real litigation and regulatory risks his business clients face.

Aegis holds degrees from Harvard College and New York University Law School. Before joining Stern Tannenbaum in 2012, Aegis had been a partner and practice head at Duane Morris LLP, the managing partner of the financial industry boutique Singer Frumento LLP, and a Managing Director of Citigroup and Morgan Stanley. He is licensed to practice law in New York, and also admitted to the US District Courts in New York, the US Courts of Appeal for the 2d and 3d Circuits, and the US Supreme Court. He is a member of the SIFMA Legal and Compliance Division, a Fellow of the American Bar Foundation, a member of the New York American Inn of Court, the American Bar Association, the New York State Bar Association, and is the current chairperson of the New York City Bar Association's standing Committee on Professional Responsibility. He is rated AV Preeminent by Martindale-Hubble and is a New York Metro Area SuperLawyer.

Aegis has written extensively on legal and securities matters over the years, and frequently appears on panels. His articles have been published in The Business Lawyer, The Journal of Investment Compliance, and The Securities Arbitration Commentator, among other publications. He recently published over 100 weekly opinion pieces under the banner InSecurities in the BrokeandBroker.com. In what little time he has left, he enjoys retreating to his woodworking shop to build something that (unlike most legal arguments) he can be sure will work.

David E. Robbins is a partner in the New York City law firm of Kaufmann Gildin & Robbins LLP and specializes in commercial arbitration and mediation. He represents investors, brokers and firms in disputes and brokers and firms before regulatory agencies. He is an expert witness in malpractice cases arising out of securities arbitrations. He and his firm have been responsible for the return of tens of millions of dollars to investors and have represented brokers in arbitrations (in disputes with customers, firms and expungements) and in regulatory matters.

Mr. Robbins served as Special Deputy Attorney General of New York State, responsible for the civil and criminal prosecution of securities fraud cases and was the American Stock Exchange Director of Compliance and Director of its Legal and Regulatory Policy Division, where his was Director of Arbitration and Director of Disciplinary Hearings. He has the highest Peer Review Rating (AV) from Martindale-Hubbell and was approved as a "Super Lawyer" in securities law.

Mr. Robbins is the author of Securities Arbitration Procedure Manual (Dec. 2022 Matthew Bender, a division of Lexis Publishing ), which has been the primary text in this area of the law and which he has updated annually for over 30 years. This two volume, 4,200+ page book presents pragmatic, balanced guides to the practice of securities arbitration and mediation for attorneys representing investors, brokers and firms and law school clinics (where he is a lecturer). In 2023, Securities Arbitration Commentator wrote: "The SAPM – a true tour de force – is now over three decades in the making, starting publication in 1990 and continually updated by the author and practitioner over the years, as the practice evolves and new rules and procedures adjust to an ever-changing landscape. Author Robbins has chronicled securities arbitration's modern history and participated at the center of events and developments that have shaped it. What has set SAPM apart and has made it the enduring leader in its field has been the dedicated efforts of its author to update and revise the book every year without fail and to inform those updates and revisions with the practical knowledge and observations of a versatile and respected practitioner. To us, David Robbins occupies a special place of honor in the field of securities arbitration."

Since 1995, Mr. Robbins has written the annual Practice Commentary to McKinney's Consolidated Laws of New York, Article 23-A of the General Business Law - on securities arbitration and mediation. A revised and updated compilation of his 1995-2021 Commentaries was published in a new book in 2022 along, which contains, as a supplement, his December 2023 Commentary. He has written over 75 articles on securities law, including "Trust Established – Trust Breached" and "Nothing But The Truth? Lying in Arbitration," published by The PIABA Bar Journal.

Mr. Robbins served as the Chairperson for more than 20 Practising Law Institute (PLI) continuing education programs on securities arbitration and mediation. He is the recipient of the Public Investors Advocate Bar Association (PIABA) lifetime achievement Golden Bow Tie Award and was a member of FINRA Dispute Resolution's National Arbitration and Mediation Committee. He is a member of the New York City Bar Association and PIABA and is on the Board of Editors of Securities Arbitration Commentator and The PIABA Bar Journal. Mr. Robbins has been co-chair of the New York State Bar Association program on securities arbitration.

Jenice L. Malecki, Esq. is a well-known New York securities attorney, adjunct professor at NY Law School and has been a FINRA arbitrator and Chairperson. She represents individual and institutional investors in arbitration and litigation, as well as licensed industry participants in regulatory hearings, employment disputes and whistleblower matters. Clients include private and public companies around the world, as well as individuals, from blue-collar workers to athletes, musicians, and billionaire founders of well-known international companies. Malecki Law has represented clients in the United States, many Western European countries, India, China, Hong Kong, Singapore, Israel, Puerto Rico and in several South American countries.

Ms. Malecki is also the Co-Chair of the NYS Bar Association Commercial and Federal Litigation Section's Securities Arbitration Committee. She has been a member of FINRA's National Arbitration and Mediation Committee, on the Board of Directors (and an Officer of) of both the Public Investors Arbitration Bar Association (PIABA) and the PIABA Foundation, as well as has been a member of the Securities and Exchanges Committee at the New York City Bar Association, as well as has been a member of the American and New York State Bar Associations. She has spoken at the Practicing Law Institute (PLI), the New York City Bar Association and the New York County Lawyers Association on several panels, and at Fordham Law School, St. John's Law School, Brooklyn Law School and New York Law School, in addition to speaking at PIABA's annual conferences. Ms. Malecki has also participated in mock trials at Yale, Columbia, Albany, Fordham and FINRA.

Jenice L. Malecki's experience as a New York securities attorney began in class action litigation, In re Crazy Eddie, counsel's office of the lead plaintiffs. Throughout the 1990s she represented numerous broker dealers and was instrumental in regulatory matters against well-known "boiler room" stock fraud of the era, including working with people and firms associated with the notorious "Wolf of Wall Street." In 1999 Ms. Malecki founded her own practice, MALECKI LAW, in Manhattan.

Ms. Malecki has been a "Top Attorney" according to Super Lawyers and the National Law Journal, featured in the New York Times Magazine, New York Magazine, National Law Journal and other publications, as well as being named as one of "New York's Women Leaders in the Law 2014." Ms. Malecki is Martindale- Hubbell's highest legal ability rating of "AV Preeminent." She appears regularly on TV, in the news and on the radio. She is a frequent bar association and law school speaker, as well as a seasoned authority on New York law, who frequently files official comments for consideration on new rules and laws. In 2014, 2015 and 2019, she visited Senators and House of Representatives members' offices to gain support for investor related laws.

Peter J. Chepucavage has 40 years of experience in both the public and private sectors of the securities industry. He has worked for the National Association of Securities Dealers (NASD) and U.S. Securities and Exchange Commission (SEC), as well as a private law firm and a major international investment bank. He is familiar with all aspects of broker-dealer and hedge fund regulation, including broker dealer operations and stock loans

He has added association law and management to his skills and served as the executive director of the Chartered Financial Analysts Society of Washington, D.C. from 2009 to 2011

Chepucavage most recently worked as an Attorney Fellow in the SEC's Division of Market Regulation where his main projects were post-9/11 resiliency and short sales, including the drafting of Reg. SHO. Prior to his position at the SEC, he practiced at Fulbright & Jaworski in New York city. At various times between 1984-1997, he was a managing director in charge of Nomura Securities' legal, compliance and audit functions and served on its management and credit committees. He also worked with its derivatives' affiliate.

Mr. Chepucavage has been a member of many Securities Industry Association (SIA) and other regulatory and legal securities industry committees and written extensively about regulation. One of his main interests is the effect of regulation on small businesses and he provides regulatory advice to small and medium enterprises, including Washington representation. Mr. Chepucavage also served as an Assistant General counsel with the NASD, a law clerk to Judge George R. Gallagher (D.C. Court of Appeals), and as an infantry officer in South Korea.

David M. Sobel, Esq. serves as Jacko Law Group, PC ("JLG")'s FINRA Specialist and works closely with our counsel during FINRA regulatory examinations and investigations. Mr. Sobel spent 10 years as EVP, General Counsel and Chief Compliance Officer of Abel/Noser Corp., a FINRA/NYSE member broker-dealer. He was previously a partner at The Goldstein Law Group, PC, where he concentrated in the areas of broker-dealer compliance/regulation, securities litigation (including arbitration and mediation), and disciplinary/enforcement matters at the SEC, NYSE, AMEX, and FINRA. Mr. Sobel was a Floor Member of the New York Stock Exchange from 1982 through 1991 as a floor broker for both H.A. Brandt & Co. and First Options of Chicago, and as President of his own NYSE member firm, Ampro Securities, Inc. After leaving the NYSE floor, he was a Senior Equity Trader/Market Maker for Trimark Securities.

Mr. Sobel has an MS from Brooklyn College and a JD from Pace Law School where he was an Editor of the International Law Review. He has been a FINRA Arbitrator since 1998, was 2013 Chairman of the FINRA Small Firm Advisory Board, a two term District 10 Committee member, former board member of the National Society of Compliance Professionals (NSCP) and past chairman of the National Association of Independent Broker-Dealers (NAIBD).

Mr. Sobel has been quoted in and/or interviewed by: Compliance Reporter, Dow Jones Newswire, Complinet, Traders Magazine, Op/Risk and Compliance Magazine, Institutional Investor News, and BD Week, and is a frequent speaker at securities conferences for FINRA, NSCP, NRS, ACA, NAIBD, Strategy Institute, and FMW. Recent conference topics include: managing risk at small BD, internal audits, supervisory responsibilities, ERISA, soft dollars, conflicts of interest, social networking, and forensic compliance. He also is author of the chapter, "Your Relationship with FINRA," featured in the 2015 book Modern Compliance Best Practices for Securities & Finance.

Ryan helps broker-dealers, registered investment advisers and their associates spend more time growing their business by handling a wide range of legal and compliance responsibilities. This includes advising them on matters related to the Securities Exchange Act of 1934, the Investment Advisers Act of 1940 and SEC and FINRA rules; counseling them during regulatory inquiries and arbitration proceedings; and serving as Chief Compliance Officer.

Before joining his current law firm, Ryan served as in-house counsel for nearly 20 years for two broker-dealers and a self-regulatory organization where, in addition to the above, he advised them on a variety of issues arising under the Securities Act of 1933; oversaw reporting to the Consolidated Audit Trail (CAT) and other regulatory submissions; and managed a regulatory surveillance unit.

Ryan holds the Series 7, 24 and 66 in addition to being admitted to practice law in multiple jurisdictions and courts.

When he is not serving his clients, Ryan enjoys going on adventures with his family; supporting the Nationals, Capitals, Old Glory DC and the University of Tennessee Rugby Club; and participating in various CSAUP (Completely Stupid And Utterly Pointless) athletic events with his friends.

Matt Zhun is a nationally recognized, multi-disciplinary expert on a broad range of topics including: electronic discovery, advanced search and information retrieval, email archiving solutions and forensics. As a technologist with over 15 years experience consulting with corporations and law firms, Matt has advised these entities on data preservation, collection, analysis, search analytics, data reduction, review and production.

Prior to joining Trust Point, Matt worked with DiscoverReady providing bespoke managed review solutions, H5 on advanced information retrieval methodologies; iLumin/Computer Associates on email archival technologies and IKON Document Services on national account management. Matt is a recognized speaker, providing numerous CLE presentations across the Southeast region on a broad range of electronic discovery topics.

Ronald H. Filler is a former Professor of Law and Director of the Financial Services Law Institute at New York Law Schoo (NYLS)l, located in New York City. He became a Professor Emeritus at NYLS in January 2020. In March 2021, he was named Chair of the newly-named Ronald H. Filler Institute on Financisl Services Law at NYLS.

Prior to joining the faculty of NYLS in 2008, he was a Managing Director in the Capital Markets Prime Services Division at Lehman Brothers Inc., where he was responsible for various business, legal and regulatory matters involving the global futures markets. Prior to joining Lehman Brothers in 1993, he was a Partner and Member of the Executive Committee at Vedder Price Kaufman & Kammholz, a large law firm located in Chicago, IL and worked at various other law firms and brokerage firms earlier in his career. He is currently a member of, or has served on, numerous industry boards and advisory committees, including serving on the Executive Cmmittee of the FIA Law & Compliance Division for the past 35+ years.

In March 2022, he was inducted inton the FIA Hall of Fame. He is currently a Member of the Board of Directors and a past member of the Executive Committee of the National Futures Association where he serves as a Public Director, and is a Public Director of the Board of Directors, and Chair of the Nominating Committee and the Regulatory Oversight Committee, of Swap-Ex, a swap execution facility owned by State Street.

More recently, Ron was a Past Chair of the CFTC's Global Markets Advisory Committee, a Public Director and Member of the Regulatory Oversight Committee of NYSE Liffe US, before its purchase by ICE, and served as a Senior Consultant to Allen & Overy, a major international law firm. Ron has been a member of several U.S. futures exchanges during his career and has spoken at over 300 business and law programs during his 40+ year career in the global futures industry. Ron is a co-author of a law treatise on "Regulation of Financial Derivative Instruments (Swaps, Options and Futures)" and has written extensively on a variety of issues facing the financial services and derivatives industries throughout his career.

He has recently served as President of the Twin Eagles Club, a golf and country club located in Naples, FL. He is also the President of a firm that provides consulting and expert witness testimony regarding a variety of financial services related matters.

He received a B.A. degree from the University of Illinois in 1970, a J.D. degree from George Washington University Law School in 1973 and an LL.M. in Taxation degree from Georgetown University law Center in 1975.

Sarah brings to the Coalition more than 20 years' labor and employment law experience – having served the past 15 years on the labor and employment team at international law firm Hunton Andrews Kurth LLP. Sarah's practice has ranged the gamut from complex, class action litigation to day-to-day advice regarding workplace policies and single employee issues and concerns. Sarah is proficient in a broad array of substance areas, including:

• Non-competes, Non-solicitation, and Non-disclosure Agreements
• Discrimination based on race, sex, disability, national origin, gender identity, sexual orientation, age, pregnancy, and all other protected categories
• Workplace Harassment
• Retaliation
• Reasonable Accommodations for Pregnancy and Disability
• Employee Discipline
• Employee References and Defamation
• Handbook and Policy Development
• Drug Testing
• Wages, Hours, and Overtime Compensation
• Family and Medical Leave

Although Sarah emphasizes preventative approaches and informal resolution of disputes whenever possible, she is a dogged and unrelenting advocate when necessary. Sarah prides herself on efficiency and is committed to providing outstanding service at a fair price. She is fast, thorough, curious, responsive, and an excellent listener. She finds nothing more satisfying than finding a new or creative way to solve a client's problem. Sarah has recently expanded her practice to include representing students with disabilities and their families in special education disputes under the IDEA. As the mother of an adult son with autism, she is passionate about this subject matter and honored to have the opportunity to use her legal education and skills to fight for the free, appropriate education to which each of her special education clients is legally entitled.

Todd began representing financial services companies and professionals immediately following his clerkship with a federal district court judge in Atlanta. He has successfully represented broker-dealers, registered investment advisors, brokers, and other individuals in customer arbitrations, employment disputes, and regulatory proceedings.

Since 1998, Todd has handled more than 600 matters involving the financial services industry. Todd has appeared before the SEC and FINRA (formerly NASD) in regulatory matters and handled arbitrations administered by FINRA, the New York Stock Exchange, the Pacific Stock Exchange, AAA, and JAMS. He has appeared in arbitrations throughout the United States, including Virginia, North Carolina, South Carolina, Maryland, the District of Columbia, West Virginia, Delaware, Pennsylvania, New York, New Jersey, Massachusetts, New Hampshire, Georgia, Florida, Alabama, Louisiana, Kentucky, Illinois, Ohio, Michigan, Wisconsin, Missouri, Kansas, Nebraska, Texas, Arizona, Colorado, Utah, Montana, Washington, and California.

Todd also assists students with disabilities and their parents to secure and enforce their right to a free appropriate public education. His commitment to this work is born out of his personal experience advocating on behalf of his oldest son, who was diagnosed with autism in 2002. Having attended countless IEP meetings and negotiated with the school division on behalf of his own child, Todd understands the confusion and frustration parents can experience when they attempt to navigate the complex special education system.

Antony Hilton is an attorney with twenty years of experience in business and corporate law. In his current role as Sr. Corporate Counsel and M&A Group Manager for HCL America, Inc, Antony works with the General Counsel and other C-Suite executives to review, negotiate and close large value mergers, stock and asset acquisitions and divestitures involving public and private companies and other complex transactions, and overseeing litigation and ADR, directing strategy with outside counsel. Previously, he ran his own firm as a solo practitioner, representing startups and midsized companies as corporate counsel spearheading organization restructures, managing and closing M&A deals and private equity investment, negotiating joint ventures and providing advice on corporate governance and general transactional matters. He has also litigated matters involving breach of contract and corporate law disputes for both individual and entity clients.

In addition, Antony provides his expertise as an arbitrator for FINRA, and is publishing an article in American University's Journal for Gender, Social Policy and the Law in 2023.

Jack is President and CEO of JP Hughes Consulting LLC, a consulting firm specializing in Broker Dealer Compliance, AML issues, Trading technology, Advertising review and rep supervision including email review and Alternative investments such as 506b and c issues.

Jack began at Merrill Lynch as an equity trader in 1972, while attending St. Joseph University Evening Division. He joined WH Newbold's Son & Co in 1976 as Manager, Equity Trading. In 1990 he joined Janney Montgomery Scott LLC as First Vice-President, Head of Equity Trading.

He was elected to Janney's Executive Committee in 2000 and became Senior Vice President, Director of Equity Capital Markets. As director of Capital Markets, he was responsible for Institutional Sales and Sales Trading, Proprietary and Agency Trading, Research, Syndicate and all Exchange Floor Operations as well as the technology platforms associated with these functions. He was responsible a budget of over $85,000,000 and over 75 sales and support personnel.

During his eighteen-year tenure with Janney, he served on various committees including Compliance Review, Risk Management and Audit, Capital Commitment, Soft Dollar, and Product Review. The product review committee was responsible for all investment banking deal approval as well as new products that focused on Private Placements Reg D 506b and c offerings providing compliance and technology solutions to capital formation.

Jack is currently Senior Consultant to WealthForge Securities LLC , a FINRA registered broker dealer that provides technology and compliance services to issuers of private placements. A consultant to Capital Markets Solutions , a SaaS provider for CAT submission solutions and other software enhancements .

Jack is also currently a part time CCO for WeClimate Capital, a soon to be Registered CF Portal.

Jack has been an active member of the securities industry having served in numerous organizational roles throughout his career such as Chairman of the following industry groups: FINRA Market Regulations Committee, FINRA Compliance Committee, FINRA District 9 Business Conduct and Security Traders Association.

He is former a FINRA arbitrator .

Jack also holds the following FINRA Series professional licenses: 7, 9, 10; 24 , 63 ,99

Mr. Hughes is a past member of the Board of Advisors for Fordham University Evening School. He is also a past member of St. Joseph Prep Fathers Club..

Lisa protects people from being bilked by Wall Street and bullied by regulators. She is an active member of the Women's White Collar Defense Association (WWCDA) and the Public Investor Advocate Bar Association (PIABA), serves on the board of several affordable housing organizations, and has been an effective advocate for reform of the FINRA expungement process.

Lisa served as a Branch Chief in the Division of Enforcement of the Chicago Office of the Securities & Exchange Commission, where she handled investigations of accounting fraud, Ponzi schemes, insider trading, churning of investor accounts, and unsuitable investments. Since leaving the SEC, Lisa has helped recover millions of dollars of investment losses in court and in FINRA arbitrations. She has represented individuals and entities in numerous investigations by the SEC and other regulators into cryptocurrencies and token offerings, insider trading, financial fraud by public companies, and other alleged misconduct. She has testified as an expert on insider trading law. As a result of Lisa's advocacy, government regulators often have decided not to charge her clients at all or have significantly reduced the charges and penalties.

Lisa has a BA in Economics and JD/MBA (Order of the Coif, honors) from the University of Chicago.

Ross Delston is an independent attorney and former U.S. banking regulator (FDIC) who has specialized in Bank Secrecy Act / Anti-Money Laundering (BSA/AML) issues since July 2000. Ross has participated in the monitorships of AIG and BNP Paribas, and has been named as an expert witness on AML issues in 21 civil, criminal and FINRA arbitration cases in the US and Canada. Cases include SEC v. Yin, an insider trading case, on behalf of the SEC, and Joint Liquidators of Stanford International Bank v. TD Bank, one of the largest Ponzi schemes in recent history, on behalf of plaintiffs. He has also drafted BSA/AML policies and conducted assessments for an array of non-bank financial institutions including investment advisers, MSBs, and residential real estate lenders.

He is the author of "Lessons from the FTX meltdown: Risk, Red Flags, and a Risky Business," posted on LinkedIn (December 1. 2022), with over 35,000 impressions; co-author of "BankThink: The Corporate Transparency Act is a gift to would-be money launderers," American Banker, February 11, 2022; co-author of "Terrorist Exploitation Points in the International Financial System: Major vulnerabilities in the anti-money laundering and countering the financing of terrorism framework," book chapter in Terrorism and Transatlantic Relations: Cooperation and Divisions, (Palgrave Macmillan, 2022); and co-author of "BankThink: How Deutsche Bank botched AML compliance in the Jeffrey Epstein Case," American Banker, November 15, 2021.

Ross has been a consultant to the IMF on AML and banking matters since 1997 and was a Consulting Counsel during the period 2000 – 2005. On behalf of the IMF, he participated in nine AML assessments of offshore financial centers, including Jersey, Bermuda, and St. Vincent, and has written AML and banking laws for numerous countries in Africa, Asia, Eastern Europe and the former Soviet Union.

He was previously a Counsel at the U.S. Export-Import Bank; Assistant General Counsel for Assisted Acquisitions at the FDIC; Of Counsel, Jones Day; and Managing Director of Kalorama Partners, headed by former SEC Chair Harvey Pitt.

Ross has been quoted on BSA/AML, crypto, and banking issues in the New York Times, Washington Post, Wall Street Journal, New Yorker, Reuters, American Banker, Bloomberg, the Nikkei (Japan), and the Times of London. He has conducted training on AML issues at FinCEN, the Peoples Bank of China, the Reserve Bank of India's Staff College, and at numerous conferences and seminars throughout the world.

Yvan Demosthenes is a Sales Professional with more than 30 years of experience, 18 years within Talent Acquisition and Recruiting. His career has covered various Sales and Management roles.

Yvan founded HamiltonDemo to provide Executive Search and Professional Placement as well as provide Diversity Recruitment solutions to organizations of all sizes nationwide including TransAmerica, JPMorgan Chase, Old National Bank, Huntington National Bank and 1st Source Bank. He has helped place various roles within these organizations such as Tellers, Manager Trainees, Financial Advisors and IT Positions. He has also had the pleasure of placing executives and emerging leaders into some of the most recognized companies in other industries. Yvan is an adjunct professor at Thomas More University and an active member of TMU's Alumni Board of Directors as well as a dynamic contributor with many local and national not-for-profit organizations.

He is also a Co-Founder and Partner at the Center for Great Work Performance where Yvan works with companies and their and their managers and emerging managers to enable and inspire transformative growth and advancement.

Yvan has been been married for 16 years and has three children. He received his BS from the University Of Cincinnati and his MBA from Thomas More University as well as receiving Leadership Training from Harvard Business School and has a D&I Certification from eCornell. Yvan is currently pursuing his Ed D in Leadership from the University of Dayton.

Alan has been practicing law for 40 years and is a seasoned litigator. His practice has historically focused exclusively on the representation of brokers, broker-dealers and investment advisors throughout the United States. He defends regulatory investigations and enforcement actions brought by the Financial Industry Regulatory Authority (FINRA), the United States Securities & Exchange Commission (SEC), and state securities commissioners. In addition, he also defends arbitrations brought by customers and investors, and has resolved hundreds of such matters over the years. For about a decade in the middle of his career, Alan was a securities regulator with the National Association of Securities Dealers (NASD) in its Atlanta District Office. He started as an attorney with the NASD's Department of Enforcement, where he had the primary responsibility for prosecuting hundreds of formal disciplinary actions. Later, he was promoted to become the Director of that office, working in the Department of Member Regulation. In that role, he oversaw nearly 600 member firms and thousands of branch offices.

Presently, Alan is a partner in the Chicago office of Ulmer & Berne. He serves as a member of the firm's Management Committee, he is the Partner-in-Charge of Ulmer's Chicago office, and he is the co-leader of the firm's Financial Services & Litigation practice group. He is also the editor of BDLawCorner.com, a blog intended for broker-dealers which are members of FINRA and the individuals associated with such firms, including legal and compliance professionals and registered representatives, as well as outside legal counsel and securities consultants who provide service to broker-dealers.

While, like most trial lawyers, he enjoys the opportunity to try cases, his preference is to take a proactive approach to help clients avoid regulatory scrutiny and customer complaints, given the costs – both monetary and emotional – and uncertainty that are inherent in any litigated matter.

Max Schatzow is a co-founder and partner of RIA Lawyers, LLC—a law firm dedicated to serving independent investment advisers. The firm's typical client averages between $500 million and $5 billion in assets. Max is a business-minded regulatory lawyer that always tries to put himself in the client's position. He assists clients in all aspects of forming, registering, owning, and operating an investment adviser. He prides himself in preparing clients and their compliance programs to avert regulatory issues, but also assists clients through examinations and enforcement issues. In addition, Max assists advisers with the formation of private investment funds and their ongoing operation. In his spare time, Max enjoys the peloton (both stationary and road), golf, and spending time with his wife and two children.

Scott Silver is the Managing Partner of Silver Law Group which is a boutique law firm handling securities and investment fraud cases. Scott is a passionate investor advocate and frequently lobbies for investor rights. He admits that his goal is to put his law firm out of business by teaching investors best practices and how to avoid Ponzi schemes. Nationally recognized for his representation of investors in FINRA arbitration claims, Silver Law Group also represents victims of Ponzi schemes in federal court class actions frequently pursuing claims against third party professionals for aiding and abetting the scheme. Over the last decade, Scott has expanded the firm's practice into SEC Whistleblower claims and frequently writes about the program at secwhistleblowerattorneys.com. Since 2012, Scott has chaired the Securities and Financial Fraud Group of the American Association of Justice and frequently lectures on investor rights, Ponzi scheme litigation and the sec whistleblower program.

Amongst other notable cases, Scott was lead counsel in several FINRA arbitration cases including a $7 million FINRA arbitration award against a former UBS Financial Services, Inc. broker Gary Gross for which he received the Daily Business Review's Most Effective Lawyer award for securities litigation, was part of the team of lawyers who helped secure a 50 million dollar plus settlement against a commercial bank for allegedly aiding and abetting a real estate Ponzi scheme, served as receiver's counsel in multiple SEC and bankruptcy court cases relating to Ponzi schemes, and represented a former Morgan Stanley employee who received an SEC Whistleblower award of approximately two million dollars. Scott is an AV rated attorney by Martindale-Hubbell, and has been awarded numerous accolades including Super Lawyers, Legal Elite, and High stakes Litigator. He is a graduate of Miami Law School and Suny Albany.

Owen Harnett has dedicated his career representing financial professionals across the United States in a variety of legal matters.

Mr. Harnett founded HLBS Law in 2017, located in Westminster, Colorado, and presently operates the firm as a managing attorney. HLBS Law provides representation in various forums that include FINRA arbitration, SEC, and state/federal court.

Due to the large geographical area of practice, Mr. Harnett has created a large network of attorneys across the country. This network includes small, medium, and large firms. No matter what issue a financial professional is facing, HLBS Law will either represent them or find them the proper law firm to handle the matter.

Mr. Harnett always advocates for financial professionals and is often a pioneer in FINRA arbitration and in court. FINRA and the SEC have promulgated new rules and general procedures in response to these innovative legal approaches.

Mr. Harnett through HLBS Law has formed professional relationships with various regulators across the industry including FINRA, State Regulators, among others to provide the highest quality of representation for financial professionals. HLBS Law has also worked with state legislatures to pass legislation that is in the interest of financial professionals.

Mr. Harnett is from Reno, Nevada. He graduated from Davis & Elkins college and continued his professional career by attending Charlotte School of Law. Mr. Harnett is licensed to practice law in Colorado and New York.

In his spare time, Mr. Harnett enjoys skiing and spending time with his fiancé at the lodge cabins in Beaver Creek.

In 1989, Coleman Flaherty embarked on a distinguished 16-year career as a registered stockbroker on the illustrious streets of Wall Street. He contributed significantly to renowned firms such as Morgan Stanley and Lehman Brothers, bringing a unique blend of insight and acumen to the table.

In 2005, he decided to leverage his profound knowledge of the industry, leaving his position as a registered stockbroker to create several prosperous micro-cap newsletters. Coleman's innovative approach propelled several companies into the public domain through the Over-the-Counter Bulletin Board and Pink Sheet markets.

However, in 2014, the path took a turn as some misguided decisions led to Coleman being charged by the Department of Justice in Boston for securities law violations. He faced the consequences head-on, pleading guilty to Securities Fraud, Conspiracy, and Wire Fraud in December of that year.

The initial sentencing guidelines pointed towards a term of 78-97 months. Yet, Coleman was determined to redefine his story. He sought counsel from former Assistant US Attorneys and ex-FBI agents, known for their expertise in handling successful sentences. Thanks to these efforts, Coleman received a noncustodial sentence of a one-year probation period served in home confinement in June 2016.

Emerging from his probation sentence, Coleman turned adversity into opportunity. He spearheaded the launch of multiple businesses and became a valued consultant for Federal Law Enforcement in both the US and Canada. Drawing from his unique experiences, he has been invited as the keynote speaker in university classrooms, sharing his wisdom and real-life lessons. Moreover, his expertise has been sought in consulting on several high-profile white-collar cases in recent years, marking a significant transformation in his journey.

Erik D. Aschenbrenner is the founder and Chief Executive Officer of The ASCHCO Consulting Group. He has been in the securities industry for more than 45 years, and has headed a Compliance, Regulatory, and Risk Management consulting practice for the past 20 years.

Erik began his career as an attorney in the New York Regional Office of the U.S. Securities and Exchange Commission. After 8 years with the SEC, he moved into the private sector where he has been the Director of Investor Services for Integrated Resources, Inc., Associate General Counsel and Chief Compliance Officer for The Equitable Life Assurance Society (now known as AXA Advisors, LLC) and its broker-dealer subsidiaries, Senior Vice President and Director of Compliance for Oppenheimer & Co., Inc. (now known as CIBC World Markets Corp.), Senior Vice President and Corporate Compliance Officer for NationsBank (now known as Bank of America), and Managing Director of Legal, Compliance and Regulatory Affairs for BlueStone Capital Partners/Trade.com Online Securities, Inc., also serving as the Chief Operating Officer of its online trading division.

Erik has also served as an Assistant Director of the NASD (FINRA) District 10 Office in New York City. He has been Vice Chairman of the NASD's District 10 Business Conduct Committee, a member of the NASD National Market Regulation Committee and Chairman of its Examination Subcommittee. He has served as an NASD arbitrator, has chaired a number of NASD Disciplinary Hearing Panels, and has been a speaker and panel member at a number of industry conferences.

Erik is a graduate of Colgate University and studied law at both The George Washington University National Law Center and St. John's University School of Law, from which he received his J.D. Degree.

Since he began practicing law in 1996, Robert Herskovits has represented securities industry participants in a variety of litigation, arbitration, and enforcement actions, first as associate general counsel to an NYSE broker-dealer firm, and later as an attorney and partner at various law firms.

Rob is a certified arbitrator for FINRA, AAA, and the NFA, and has participated in an estimated 200 arbitration proceedings before FINRA. Additionally, Rob has defended an estimated 100+ FINRA investigations and disciplinary actions. Rob is among a very small group of lawyers who has beaten FINRA on its home court (FINRA's Office of Hearing Officers).

At the end of 2011, Robert formed Herskovits PLLC to provide legal representation to broker-dealers, investment advisors, securities industry professionals, and investors in securities litigation, securities arbitration and securities industry regulatory defense for matters appearing before FINRA and other self-regulatory bodies, as well as before the SEC, state securities authorities, and state and federal courts. In addition to dealing with regulatory matters, Robert provides representation in employment, contract, and general commercial litigation for these same financial services clients.

The impetus for founding his own firm was Robert's recognition that securities and financial services industry clients were not always being well-served by some of the larger law firms, particularly with regard to billing inefficiencies. He recognized that, sometimes, their large size and broad practice structure actually hindered them from constructing the hands-on, personal relationships necessary to truly understand their client's priorities and goals in representative matters.

He formed Herskovits PLLC to fill a void in the marketplace by offering clients involved in the securities profession experienced legal services while still recognizing and appreciating the budgetary limitations imposed on these businesses by a weak economy and a constrained market.

Robert's insight is to provide a broad range of business-related services in a small-firm atmosphere, so that his clients do not have to deal with multiple firms or, alternatively, work with multiple attorneys at a single large firm who are unfamiliar with the particular concerns that securities industry participants face. Herskovits PLLC knows its clients, understands its clients' business and provides its clients with offer cost-effective representation.

Robert is dedicated to providing legal expertise and advocacy that will empower his securities and financial services clients to operate their businesses and pursue their professions with as little disruption and cost as possible when faced with problems, whether they are customer or employee disputes, enforcement actions, or regulatory investigations.

Robert is the former Co-Chair of the Committee for Securities and Exchanges of the New York County Lawyers' Association and is admitted to practice in the State of New York and before various federal courts throughout the country, including the U.S. Supreme Court.

Robert is rated AV (preeminent) by Martindale-Hubbell for securities law, litigation and alternative dispute resolution. Martindale-Hubbell is a nationally recognized and respected directory of attorneys and law firms whose ratings are based upon peer review and input related to an attorney's ethical standards, legal knowledge, analytical capabilities, experience, judgment, and communication skills. AV is the highest rating achievable.

Robert's accomplishments have been recognized by Thomson Reuters' publication, “Super Lawyers,” as a 2011 Rising Star in business litigation and 2014 through 2023 Super Lawyer for securities litigation. Thomson Reuters, one of the world's leading information resources providers created the “Super Lawyers” rating system to highlight attorneys in over 70 practice areas who have been recognized by their peers as exceptional in their field. Additionally, Robert was recently recognized by the prestigious Chambers and Partners for excellence in dispute resolution.

Vincent has corporate management, sales, and business development expertise in North America, Asia, and Europe. Over the years, he has built a network of contacts in financial, high-tech, manufacturing, consumer electronics, advanced materials, and investment communities. Vincent is Founder, CEO, and Chairman of the Board at Buckler, a Cybersecurity Program Management System, Business Advisor at Managed Cybersecurity Service Provider FCI, and Advisory Board Member at Open VRM, a free Vendor Risk Management platform.

Before that, Vincent was President & CEO of Metafoam, a metal foam manufacturer offering cooling solutions for computers, President & CEO of Imaginum, a fabless chip manufacturer, President of Embrase Business Consulting, General Manager of Mindready's Embedded Systems Division (TSX: MNY), Vice President of Sales and Marketing at Locus Dialog (acquired by InfoSpace, NASDAQ: INSP) and Sales Manager at Apple, where he won two President Club awards for sales achievements.

Vincent was trained by the Chasm Institute and MIT Sloan School of Management. From 2006 to 2019, he guest-lectured on creating business plans for McGill University’s MBA students. Vincent holds a College Degree in Computer Science and a Cybersecurity Risk Management Certificate from Harvard University.

Simon Hoyle is the owner of RIA Choice, a national recruiting firm based in Houston, TX. He has worked in the financial services industry since his Marketing Specialist position at AIM Investments(now Invesco) in 1991. While he was the sales desk manager of the New York Stock Exchange Division, their advisor support team earned the DALBAR Service Award, which recognizes a superior standard of care in the financial community.

His recruiting experience spans 20 years. As a financial advisor advocate, he has successfully transitioned hundreds of FAs to better-fit business partners and platforms. Simon has worked with FAs from all distribution channels and group revenue over $18M.

He's responsible for consulting with financial advisors on a broad range of focuses, helping advisors align strategically with partners while revealing unknown broker dealer and RIA benefits in the marketplace. He also provides valuable insight and metrics around buying and selling financial practices, including the why and how to buy remote client opportunities. He grew up in a culture of service and support of financial advisors.

Simon enjoys working out at the gym with his family, running, and cooking.

Dave Banerjee CPA (Ret'd) is co-founder and advisor to RND Compliance. Under Dave's leadership RND Compliance provides customized compliance consulting, risk assessments, exam and review services, outsourced FinOp & CCO, new member registration and accounting to securities firms throughout the United States.

Dave has expertise providing compliance, audit, and tax planning to services for the following securities industry business models; broker-dealer, registered investment adviser, hedge fund, commodity trading adviser, commodity pool operator, futures commission merchant, bank, wealth manager, insurance company, private funds and more.

Dave Banerjee is also a well-known speaker on compliance topics and emerging trends in the financial services industry. He regularly participates in industry training events, conferences, seminars, webinars, on-site training, and compliance round-table meetings by providing topic presentations, analysis of regulatory trends, and discussion in best practices. He is always happy to answer a few questions for securities firms and enjoys networking opportunities. Request Dave's speaker biography

Memberships & Affiliations

• Securities Licensed Series: 4, 7, 24, 27, 53, 55, 63, 65, 79, 99
• PCAOB Public Company Accounting Oversight Board

Nicholas W. Stuller is one of the foremost authorities on financial advisors and is a respected and outspoken authority on the financial advisory universe. He is the founder and CEO of MyPerfectFinancialAdvisor which intends to be the "eharmony" of matching investors or consumers to advisors, regardless of how little or much money one has.

Prior, he was the founding CEO of two of the largest financial advisor database companies in the U.S., he has built the most inclusive web-based directories, which include deep data and intelligence on the two million U.S. financial and insurance advisors. The nation's largest advisory firms, mutual funds, and insurance carriers have relied upon his companies to understand the financial advisor community.

In 1985, Stuller began his career at Shearson Lehman Hutton (now Morgan Stanley). When he left the firm as a financial advisor, he began a successful career selling to financial advisors at firms such as Waterhouse Securities (now TD Ameritrade) and National Regulatory Services (acquired by the Thomson Company). Selling to thousands of advisors, Stuller subsequently built sales teams to dramatically increase revenues at the various firms he worked for. A gifted entrepreneur and sales professional, he went on to create unique directories of critical data on financial advisors.

Stuller is a widely respected spokesperson for financial advisors. He has been quoted extensively by the print and digital media, including The New York Times, Dow Jones, Reuters, and Yahoo, and has been interviewed by the broadcast media including NBC, CBS, PBS, and others.