- Chief Compliance Officers
- Compliance Managers
- General Counsel
- Senior Managers
Joseph Price is senior vice president, corporate financing/advertising regulation at the Financial Industry Regulatory Authority. Mr. Price previously worked in various capacities at the SEC, where he was an assistant general counsel and special counsel in the Office of General Counsel, as well as the deputy chief of the Office of Disclosure and Investment Adviser Regulation in the Division of Investment Management. Before working at the SEC, Mr. Price was a litigator in the Bureau of Competition at the Federal Trade Commission. He also worked as a compliance investigator at the Coffee, Sugar and Cocoa Exchange, and has been an adjunct professor at Georgetown University Law School.
John Hewitt is a partner in McCarter & English’s New York Office where he specializes in securities litigation and regulatory advice and counsel to broker-dealers, investment advisers, investment banks, and investment companies. Mr. Hewitt has written extensively on the regulation of electronic technology in the securities markets, including a series of articles for the New York Law Journal. He also is the author of the Record Keeping and Advertising Chapters of the PLI Broker-Dealer Regulation treatise. He was formerly a senior vice president/associate general counsel with Lehman Brothers and a senior counsel with the SEC’s Division of Enforcement.
David Sobel is Executive Vice President, 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, P.C. 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 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.
Steve Ganis is an attorney with Mintz Levin’s
Boston office, where he practices in the Litigation Section. He has more than a decade-and-a-half of experience as a government and private-sector lawyer practicing financial services law, specializing in the federal banking, securities, and derivatives laws. Mr. Ganis has represented firms as outside counsel, a compliance officer, or in-house counsel before all major U.S. financial services regulators. Mr. Ganis previously worked at Fidelity Investments, Goodwin Proctor LLP,
and as counsel to the House Banking Committee. He
also worked as a general attorney in the SEC’s Office
of General Counsel.
Chad Bockius, CEO of Socialware, has more than 11 years of enterprise software experience from companies such as Bazaarvoice, BetweenMarkets and Trilogy. Bockius has a Bachelors of Engineering degree from Vanderbilt University.
This webinar was originally recorded June 1, 2010,
2:00 – 3:30 p.m., but due to the overwhelming demand
for the recording, we have made it available on CD for your convenience.
If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!
Webinars are sponsored by IA Week, a publication of IA Watch, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry and BD Week, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the brokerage industry.
