Securities Industry Symposium 2022
We look forward to seeing you for the annual Securities Industry Symposium, an afternoon of highly informative discussions and networking opportunities with other securities professionals. The symposium is co-hosted by the Bar Association of Metropolitan St. Louis and Greensfelder.
This year's symposium will include interviews of Missouri Securities Commissioner Douglas Jacoby, NASAA President and Iowa Deputy Administrator for Securities Andrew Hartnett, and Gregory Markovich, FINRA Senior Director of its Cyber Enabled Fraud group, as well panels on cybersecurity and current events for dual registrants, which includes panelist Daniel Gregus, Director of the SEC’s Chicago Regional Office.
Wednesday, November 16, 2022
- 12:15 p.m.: Registration
- 12:45 to 5:20 p.m.: Program
- 5:20 to 6:30 p.m.: Reception
Location: Donald Danforth Plant Science Center
975 North Warson Road, St. Louis, MO 63132
The symposium is accredited for 4.6 MO CLE hours.
Please see the full list of interviews and speakers below:
Welcome and Opening Remarks
- Untress (Trez) Quinn – Treasurer, Bar Association of Metropolitan St. Louis
Cybersecurity Panel featuring:
- Patrick Cox – Expert Witness and Compliance Consultant, Bates Group
- Wayne Fajerski - Deputy Chief Information Security Officer, Edward Jones
- Nick Puetz – Managing Director, Protiviti
- Moderator: Lauren Daming – Officer, Greensfelder, Hemker & Gale, P.C.
Interview with Doug Jacoby
Missouri Securities Commissioner
- Interviewer: Lindsay Wuller Aggarwal – Partner, Bryan Cave Leighton Paisner
Current Events for Dual Registrants featuring:
- Dan Gregus – SEC’s Director of the Chicago Regional Office
- Adam Kruger – Chief Compliance Officer, Moneta Group
- John Ivan – Compliance Consultant, Capital Forensics/JS Held
- Moderator: Don McBride – Officer, Greensfelder, Hemker & Gale, P.C.
Interview with Andrew Hartnett
NASAA President and Iowa Deputy Administrator for Securities
- Interviewer: Beth Conran – Officer, Greensfelder, Hemker & Gale, P.C.
Interview with Gregory Markovich
Senior Director, Cyber Enabled Fraud group at FINRA
- Interviewer: Lucie Huger – Officer, Greensfelder, Hemker & Gale, P.C.