Securities Industry Symposium 2019

Donald Danforth Plant Science Center, 975 N Warson Rd, St. Louis, MO 63132
November 14, 2019

Join the Bar Association of Metropolitan St. Louis and Greensfelder, Hemker & Gale, P.C. for the annual Securities Industry Symposium, an afternoon of collaboration with colleagues and networking opportunities with other securities professionals.

This year’s symposium will include interviews of Lara Thyagarajan, FINRA Senior VP and Counsel to the Head of Enforcement, and Joel Levin, Director of the SEC’s Regional Office in Chicago, as well as panels on cybersecurity, legal ethical issues involved with broker transitions, and current issues for financial service companies.

For questions, contact Alison Craghead at 314-345-4762 or

Below is a tentative agenda. Speakers and topics are subject to change. 

12:50 to 1 p.m.: Opening Remarks

1 to 1:50 p.m.: Cybersecurity Panel

  • Denise Watson, Director of Global Data Privacy and Protection at Raymond James
  • David M. Kelley, Surveillance Director at FINRA 
  • Patrick Chavez, Chief Privacy Officer and Associate General Counsel at Edward Jones
  • Tony Ogden, Chief Legal and Administrative Officer, Bates Group 
  • Moderated by Karen Johnson, Officer at Greensfelder

1:50 to 2:40 p.m.: Current Issues for Financial Services Companies

  • David Minnick, Missouri Securities Commissioner
  • John Ivan, Capital Forensics
  • Amanda Demas, Senior Counsel and Vice President at BMO Financial Group
  • Robert McCarthy, Director of Regulatory Policy at Wells Fargo Advisors
  • Moderated by Rick Kuhlman, First Vice President, Legal at Cambridge

2:40 to 3 p.m.: Networking Break

3 to 3:35 p.m.: Interview with Joel R. Levin, SEC Director of Chicago Regional Office

3:35 to 4:25 p.m.: Ethics panel on broker transitions

  • Paul Yarns, Associate General Counsel at Edward Jones
  • James Browning, Stifel Nicolaus
  • Michael Downey, ethics attorney
  • Miles Hart, Saretsky Hart Michaels and Gould PC
  • Moderated by Chris Pickett, Officer at Greensfelder

4:25 to 4:40 p.m.: Networking Break

4:40 to 5:15 p.m.: Interview with Lara Thyagarajan, Senior Vice President and Counsel to the Head of Enforcement

5:15 to 5:20 p.m.: Closing Remarks

5:20 to 6:30 p.m.: Cocktail Reception

For information on past symposiums, click here. 

Logos for Bar Association of Metropolitan St. Louis and Greensfelder, Hemker & Gale, P.C.

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