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Enforcement Developments: 2017 FINRA Annual Conference

SKU: FR7300
Total Credits
1
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE session provides and overview of new developments and trends in enforcement, including enforcement priorities, as well as policy changes and clarifications, particularly regarding information requests. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices. Panelists will also provide information and insight on navigating enforcement investigations and the disciplinary process.

After attending this session, you will be able to:

  • Discuss retaining and working with outside counsel.
  • Summarize self-reporting and cooperation processes.
  • Understand and implement responding to regulatory inquiries and subpoenas.
  • Review and digest lessons learned and firm resources.

Lecturer Bios

Jeff Levine, Esq.

Jeff Levine is the general counsel of Mesirow Financial. Mesirow Financial is a diversified financial company with a myriad of investment management, broker-dealer and insurance business lines. In this position, Mr. Levine is responsible for Mesirow Financial’s global legal activities and policies including its overall compliance with applicable regulatory organizations such as the Financial Industry Regulatory Authority, U.S. Securities and Exchange Commission (SEC), Commodities Futures Trading Commission, National Futures Association and various other foreign and state agencies. Prior to joining Mesirow Financial, he was an attorney advisor in the regulation division of the SEC, where he was responsible for the compliance of registered entities with federal securities regulations and self-regulatory agency rules. He also was assigned to the Enforcement Division of the SEC. Prior to his tenure at the SEC, Mr. Levine was an Assistant Cook County State’s Attorney. Mr. Levine holds a juris doctor degree from DePaul University College of Law and a Bachelor of Arts degree from Northwestern University. He holds multiple securities licenses, passed the U.K.’s Principal of Financial Regulations and has earned the designation of Chartered Alternative Investment Analyst program. Mr. Levine also serves on FINRA’s District Committee and its series 14 test writing committee.

Susan Schroeder, Esq.

Susan Schroeder is the Deputy Chief of FINRA’s Department of Enforcement, responsible for Enforcement’s home office in New York. Prior to joining FINRA, she was a partner in WilmerHale’s Securities Litigation and Enforcement practice, where she specialized in SEC, FINRA, and state enforcement actions. She began her legal career as a litigation associate at Kirkland & Ellis. She received her J.D. from NYU School of Law, her M.A. from the University of California at Davis, and her B.A. from Georgetown University. She is a member of the New York bar.

Julie Glynn

Julie Glynn joined JP Morgan Chase in 2011 and is currently the General Counsel of Chase Wealth Management. She previously worked in the Government Investigation and Regulatory Enforcement Group and as Deputy Chief Legal Officer for JP Morgan Securities, LLC and JP Morgan Clearing Corporation. Prior to working at JP Morgan Chase she worked for FINRA Enforcement, Morgan Stanley and Morrison & Foerster.

Jessica Hopper

Jessica Hopper is FINRA’s Senior Vice President of Regional Enforcement, responsible for the Department of Enforcement’s attorneys and professionals in 15 District Offices throughout the country. She oversees the nationwide disciplinary proceedings that regional Enforcement brings against broker-dealers and registered representatives for violations of FINRA’s rules. She joined FINRA Enforcement in 2004 and served as a Director in FINRA’s Washington D.C. home office until 2011. Prior to joining FINRA, from 2000 to 2004 she was a member of the Legal & Compliance Department of Legg Mason Wood Walker, Inc.’s, where her responsibilities focused on retail sales compliance issues. Earlier in her career, she was an associate at a law firm and an editor in legal publishing.

Christopher Kelly

Christopher Kelly serves as the Regional Chief Counsel for the North Region of FINRA’s Enforcement Department. As Regional Chief Counsel, Mr. Kelly oversees the work of the Enforcement Staff in the Boston, New Jersey, and Philadelphia District Offices. Prior to joining FINRA, Mr. Kelly served as Deputy Chief of the Criminal Division at the U.S. Attorney’s Office for the District of New Jersey. In that role, Mr. Kelly supervised more than 35 Assistant U.S. Attorneys in the Office’s white collar units: Economic Crimes, National Security, Healthcare and Government Fraud, and Cybercrime. Prior to his promotion to the position of Deputy Chief, Mr. Kelly served as the Chief of the Economic Crimes Unit at the U.S. Attorney’s Office, where he oversaw the Office’s prosecution of complex economic crimes, including crimes involving insider trading, securities fraud, tax evasion, bank fraud, corporate fraud and embezzlement. Mr. Kelly also served as the lead prosecutor on several complex matters, including U.S. v. Tiger Asia, one of the first ever criminal prosecutions of a hedge fund. Mr. Kelly graduated from Duke University and Harvard Law School. Prior to joining the U.S. Attorney’s Office, he was an associate at the law firm Dechert LLP. Mr. Kelly also clerked for the Honorable Joseph E. Irenas, U.S. District Court Judge for the District of New Jersey.



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