Securities Industry Symposium 2018

Donald Danforth Plant Science Center, 975 N Warson Rd, St. Louis, MO 63132
November 14, 2018

Please join us Wednesday, November 14, for the 10th annual Securities Industry Symposium, an afternoon of collaboration with colleagues and networking opportunities with other securities professionals. The full agenda, highlighted by an interview with FINRA CEO Robert Cook, is below.

The symposium has been accredited for 4.2 MO CLE hours, including 1.2 ethics/professional responsibility hours.

Directions and parking information

Questions? Contact Megan Schwedtmann at 314-345-4762 or mschwedtmann@greensfelder.com.

Our scheduled agenda is outlined below.


12:15 – 12:45 p.m.: Registration

12:45 – 12:55 p.m.:  Opening Remarks

12:55 – 1:45 p.m.: Panel 1: Regulatory Update

  • Harris Kay, Officer, Greensfelder, moderator
  • Kim Reilly, Assistant General Counsel, Raymond James Financial
  • Ed Wegener, Senior Vice President, Midwest Regional Director, FINRA
  • Hasan Ibrahim, Chief Legal Officer and Vice President, Prudential Advisors
  • Michael Wells, Senior Special Counsel, Securities and Exchange Commission, Office of Compliance Inspections and Examinations – Chicago

1:45 – 2:35 p.m:  Panel 2: Conflicts of Interest: Identification, Disclosure, and Mitigation

  • Donald D. McBride, Officer, Greensfelder, moderator
  • Amanda Demas, Vice President, Senior Counsel, BMO Harris Wealth Management
  • Robert Lavigne, Managing Director – Compliance Solutions, Bates Group
  • Tanya Solov, Director, Illinois Securities Department
  • Daniel Bosch, Principal and Director of Compliance Resolution, Edward Jones

2:35 – 3 p.m.:  Break

3 – 4 p.m.:  Panel 3: Ethical Issues in Internal Investigations

  • Dennis Capriglione, Senior Counsel, Wells Fargo Advisors, moderator
  • Jane Matoesian, Senior Vice President & Managing Counsel, Benjamin F. Edwards & Company
  • Jessica Newman, Corporate Counsel, Hilliard Lyons
  • Seth Miller, General Counsel – Senior VP, Risk Management, Chief Risk Officer, Cambridge Investment Research, Inc.
  • John Ivan, Managing Director – Regulatory and Compliance, Capital Forensics

4 – 4:20 p.m.: Break

4:20 – 5:10 p.m.:  Interview of Robert Cook, FINRA President & CEO

  • Interviewed by Andrew Hartnett, Officer, Greensfelder

5:10 – 5:15 p.m.: Closing Remarks

5:15 – 6:30 p.m.: Cocktail Reception

For information on past symposiums, click here.