Lecturer Bios
Kosha Dalal, Esq.
Kosha Dalal is Associate Vice President and Associate General Counsel with FINRA’s Office of General Counsel. In this role, she provides legal guidance on various policy initiatives and rule changes / interpretations including, supervision, non-cash compensation, branch office, customer account statements, payments to unregistered persons and corporate actions. She has been with FINRA’s Office of General Counsel since 2000.
Prior to coming to FINRA, she was an associate with the law firm of Venable in Baltimore, MD, Kalkines Zall in New York, NY and Skaden Arps in New York, NY. Ms. Dalal attended Columbia University in New York, NY where she received a bachelor’s degree in political science and economics. She received her law degree from Brooklyn Law School.
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.
Jeffrey P. Halperin, Esq.
Jeffrey P. Halperin is Senior Vice President in MetLife’s Corporate Ethics & Compliance Department and is responsible for overseeing the compliance function for MetLife’s U.S. businesses and Investments operations. Mr. Halperin oversees a comprehensive compliance risk management program that is designed to identify, monitor, test and assess regulatory compliance risk across MetLife’s U.S. Businesses and Investments operations. In connection with his responsibilities, he is the Chief Compliance Officer for MetLife’s retail broker-dealer, MetLife Securities, Inc. Mr. Halperin has been active in a number of industry groups during his career, including FINRA’s Membership Committee, where he provides feedback to FINRA on the potential impact of proposed rule changes. He is a frequent panelist on topics of compliance risk management, securities regulation, and money laundering prevention at the invitation of regulators and industry groups. Mr. Halperin received a B.A. in English from the University of Michigan and a J.D. from the University Of Connecticut School Of Law.
Ben A. Indek, Esq.
Ben A. Indek is a partner in Morgan Lewis's Litigation Practice and the chair of the Securities Litigation and Enforcement Practice. Mr. Indek focuses his practice on representing broker-dealers and their employees in governmental, self-regulatory organization, and state securities commission investigations and disciplinary proceedings, as well as conducting internal investigations for financial services firms. He also counsels broker-dealers on regulatory and compliance issues, including the development and implementation of written compliance and supervisory procedures and new rules and regulations. Mr. Indek also has experience assisting firms in self-reporting matters under FINRA Rule 4530(b) and the prior NYSE rule, and he currently acts as counsel to a broker-dealer's self-reporting committee. He has also represented a number of compliance officers in SEC, FINRA, NYSE Regulation and NASD investigations. Mr. Indek was the co-author of an amicus brief filed on behalf of the National Society of Compliance Professionals (NSCP) with the SEC in connection with In re Theodore W. Urban. On several occasions, he has acted as independent consultant to firms in connection with regulatory settlements. Mr. Indek currently serves on FINRA's Independent Dealer/Insurance Affiliate Committee. He previously served on the NYSE's Electronic Communications Task Force, the NASD's Market Regulation Committee and on the Board of Directors of the NSCP. Mr. Indek is the author of numerous articles concerning broker-dealer regulation and enforcement issues, and frequently lectures on these topics. Since 2006, he has been the principal author of the firm's annual year-in-review publication "Select SEC and FINRA Broker-Dealer Cases and Developments," which describes the key developments in the enforcement programs of the SEC and FINRA, analyzes the metrics used to measure enforcement activity and summarizes the important cases brought by regulators. Previously, he was a co-author of "Securities Litigation and Enforcement," a regular column appearing in the New York Law Journal. Between 1984 and 1988, Mr. Indek was a compliance officer at E.F. Hutton & Co. In his last position at the company, he managed the Compliance Department's surveillance group. He joined Morgan Lewis in 1988 as a legal assistant specializing in the securities field. While a full-time legal assistant at the firm, Mr. Indek attended New York Law School, where he was a member of the Law Review and from which he graduated magna cum laude in 1992. Mr. Indek is a member of the firm's Advisory Board and Finance Committee. Mr. Indek is admitted to practice in New York.