Lecturer Bios
Nicole McCafferty Esq.
Nicole McCafferty is the Vice President in Member Supervision’s Examination Program, overseeing firms within the Retail firm grouping. In this role, she is responsible for establishing the strategic goals and objectives for the Retail examination program, working to ensure that relevant risks and industry developments are adequately considered and addressed. In her prior role at FINRA, Ms. McCafferty was the Strategic Advisor for the National Cause and Financial Crimes Detection Programs where she provided critical leadership and strategic support to the Executive Vice President.
Ms. McCafferty also held positions as an Examination Director, Examination Manager and Examiner during her tenure at FINRA. Her prior roles within the examination program have included both managing and conducting examinations, primarily focusing on business conduct with retail investors. Ms. McCafferty began her career at the NYSE as a Sales Practice Examiner in 2005 (merging into FINRA in 2007), joined Morgan Stanley’s Internal Audit Department in 2009 and then rejoined FINRA in late 2012. She received her B.S. in Finance and Management from Manhattan College.
James Rabenstine
James Rabenstine serves as Vice President and Chief Compliance Officer at Nationwide Financial, where he leads regulatory compliance strategy across the firm’s investment and advisory businesses. Based in Columbus, Ohio, Jim brings more than three decades of financial services experience, with prior leadership roles at PNC and Barclays.
He holds an MBA in Finance and Economics from Missouri State University and is recognized for his deep expertise in securities regulation, mutual funds, investment advisory compliance, and supervisory practices. Throughout his career, Jim has been known for building effective compliance frameworks that align with evolving regulatory expectations while supporting business innovation.
John Taylor-Jones
John serves as the Chief Compliance Officer and has more than 30 years in the financial services industry. Prior to joining Private Client Services, he owned a successful Compliance Consulting company servicing compliance needs for large insurance affiliated Broker/Dealers, independent and captured sales force firms, as well as product distributors. He graduated from the University of Cincinnati, with a Bachelor degree in Finance and Management and currently holds his FINRA Series 7, 24, 4, 52, 53, and 99 registrations.
