Lecturer Bios
Norm Ashkenas
Norm Ashkenas is Senior Vice President, CCO for Fidelity Brokerage Services, running Broker/Dealer and Insurance compliance for Fidelity Investments’ retail and retirement business. He has been with Fidelity since 2003 in various compliance leadership roles, including field, product and regulatory, internal controls and ASL covering B/D, IA, ERISA/Tax and TA issues. He has also been CCO for Fidelity Distributors Corporation and Fidelity Personal Trust. Previously, Mr. Ashkenas spent 10 years with Prudential Securities as SVP for Regulatory & Compliance Examinations, and VP/Associate General Counsel. Prior to that, he was a litigation attorney with Chemical Bank. He is on the FINRA District 11 Committee and Membership Committee, has served on the Regulatory Advisory Committee, and is on the Board of Directors for NSCP and chair of the NSCP Broker/Dealer Committee. Mr. Ashkenas has spoken frequently at industry conferences such as the FINRA Annual Conference, SIFMA Compliance & Legal Division Annual Seminar and NSCP National & Regional Meetings. He earned a BA from Northwestern University and JD from Fordham Law School, and holds Series 7, 14, 24 & 63.
Linde Murphy
Linde Murphy is Chief Compliance Officer for M.E. Allison & Co., Inc., a full service broker/dealer and Texas registered investment adviser. Founded in 1946, the firm also provides municipalities with advisory and underwriting services. In 2012, Ms. Murphy joined Presidio Financial Services as they began the CMA process to join M.E. Allison & Co., Inc. Ms. Murphy started her career in investments on a trading desk in Chicago in 1999 and has held positions in compliance, sales, business development and management.
Ms. Murphy graduated with honors from American University in Washington, D.C. with a Bachelor’s of Science in Business Administration focusing on international finance. In addition to the pertinent industry licenses, Ms. Murphy obtained the CRCP designation in
2014 after attending the FINRA Institute at Wharton on the FINRA Small Firm scholarship.
Nathaniel Stankard
Nathaniel Stankard is Executive Vice President and Chief of Staff to the CEO. In this role, he works closely with the CEO to execute FINRA’s enterprise strategy and enable more effective and efficient operations across the organization. He also advises on regulatory policy.
Mr. Stankard joined FINRA in 2017 as Senior Advisor to the CEO, playing a key role in FINRA’s strategic planning and policy initiatives. Most recently, he was Executive Vice President and Chief of Staff to the CEO for Regulatory Operations, leading initiatives to better integrate the strategy and technology of FINRA’s regulatory programs.
Mr. Stankard previously worked at the U.S. Securities and Exchange Commission for seven years. He first served as the Counsel to the Director of the Division of Trading and Markets and later as the Deputy Chief of Staff for Policy for Chair Mary Jo White, where he managed the rulemaking agenda of the Commission; advised the Chair on a diverse range of complex legal and policy matters; and represented the Chair in negotiations with other agencies and market participants.
Mr. Stankard’s financial industry background also includes Morgan Stanley, where he was an Executive Director in what is now the Global Sustainable Finance Group, and Cleary Gottlieb Steen & Hamilton LLP, where he advised financial institutions and markets on regulatory and compliance matters.
Mr. Stankard received a B.A. in Economics from Oberlin College and a J.D. from Harvard Law School.
Greg McShea
Gregory (Greg) B. McShea is Senior Vice President and General Counsel and a member of the Firm’s Executive Leadership Team. Under his direction, his team focuses on providing high- quality legal, compliance, and risk management services that support Janney’s core value of "delivering with integrity" on behalf of clients.
Greg joined Janney as General Counsel in December 2012. He has more than 25 years of financial services industry experience in legal and compliance roles.
Before coming to Janney, he was with M&T Bank, where he oversaw the regulatory and compliance functions of the Bank’s mutual fund, investment management, broker-dealer, and insurance businesses.
His previous experience includes serving as General Counsel for Legg Mason Capital Management in Baltimore, Maryland, and Western Asset Management Company in Pasadena, California. Prior to those roles, he was Compliance Director for the Private Client division of Legg Mason’s broker-dealer.
Previously, Greg was an associate attorney at Weinberg and Green (now Saul Ewing) in Baltimore, Maryland.
Greg received his Bachelor of Business Administration from West Virginia University and his Juris Doctor from The Catholic University of America.
Nate Saint Victor
N. Nate Saint Victor is an experienced, solutions-oriented senior executive that has worked in highly-regulated, global private and public companies. With experience from a founder-led investment firm, global Fortune 100 financial services leader, and AmLaw 10 law firm, he is relied on by boards, executives, and operational leaders to: anticipate business opportunities by analyzing structural dynamics and innovating beyond barriers; create new revenue streams, partnerships, products, and services; architect innovative, industry-leading solutions to emerging problems; and develop and inspire first-rate talent.
