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High-Risk Activity Impacting Retail Investors

SKU: FIN7900
Total Credits
1 - 1.2
Price$50
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Description

Join FINRA staff as they share helpful insight on identifying and assessing activity of registered representatives as high risk and how that intelligence can be more broadly used to assess risk across and within branch offices. Upon completion, you will be able to: Learn effective practices for identifying and mitigating risk in the hiring process. Summarize ways to identify indications of high-risk activity as part of ongoing supervision, and ways to mitigate such risk, including heightened supervision. This CLE program will assist in the learning of the data and methodologies used by FINRA to identify high-risk representatives, and how member firms can similarly use data as part of their supervision. Describe practical approaches to identifying and addressing high-risk activity as panelists describe actual examples.

Lecturer Bios

Brooks Brown

Brooks Brown joined FINRA’s New Orleans District Office in 2001, and then transferred to FINRA’s Atlanta District Office in 2006. Mr. Brown assumed the role of Associate District Director in July 2015 and is responsible for overseeing the office’s cycle examination program. Previously, as an Examination Manager, Mr. Brown supervised five staff members who conduct cycle examinations to review for compliance with FINRA and SEC rules. Prior to joining FINRA, Mr. Brown worked with Trustmark National Bank in Jackson, Mississippi from 1999 to 2001 as an equity analyst in Trustmark’s Trust Department. Mr. Brown earned the Certified Regulatory and Compliance Professional™ designation from the Wharton School in 2013. Mr. Brown is a graduate of Millsaps College in Jackson, Mississippi, and he also earned an M.B.A. from Millsaps College’s Else School of Management.

Patricia Hatzfeld

Patricia Hatzfeld is Senior Director in FINRA’s Member Regulation Sales Practice Department working in the New York, NY District Office leading national initiatives and projects and assisting in the oversight of the District Offices. Ms. Hatzfeld has been working at FINRA for more than 12 years. Ms. Hatzfeld began her career in the Securities Industry as a Financial and Operations Principal. She is a Certified Public Accountant and holds a Master’s Degree in Economic Crime Management. Her tenure at FINRA includes seven years as an Examiner and four years in management positions in the New York Region District Offices where she was responsible for the scheduling, planning, supervision and review of sales practice examinations of member firms. In her role as Senior Director, Ms. Hatzfeld is responsible for assisting in overseeing the national examination programs and policies as well as leading certain initiatives such as the High Risk Registered Representative Program and Examination Unit, Blotter Analytics, Special Examination Sweeps, and Annual Sales Practice Examination priorities. In the examination space, Ms. Hatzfeld serves as the Senior Director of the High Risk Registered Representative Unit. As a Regulatory Specialist in the areas of Fraud and Non-traded REITs, she has led initiatives and training sessions in the areas of Non-traded REITs and BDCs, Anti-Money Laundering, and Securities and Investment Fraud investigation techniques. Ms. Hatzfeld also worked in FINRA’s Office of Risk developing more initiatives to enhance FINRA’s risk based examination program.

Susan Hectlinger

Susan Hechtlinger is Senior Vice President and Chief Compliance Officer for SunTrust Investment Services, Inc., SunTrust Advisory Services LLC, and SunTrust Bank’s Private Wealth Management. She joined SunTrust in 2008 and is based in Atlanta, Georgia. Ms. Hechtlinger has more than 25 years of experience, including many years as a regulator working for FINRA in various roles, including Deputy Director for their New York office, and 10 years at Bank of America (and their predecessor NationsBank) as CCO for their retail broker-dealer and various other compliance and risk positions. She maintains her series 4, 7, 24, 27 and 66 FINRA registrations and holds Six Sigma Greenbelt Certification. Ms. Hechtlinger earned her bachelor’s degree in finance from Northeastern University and master’s degree in business administration from Rutgers University.

Andrew Small, Esq.

Andy Small is Senior Vice President and Chief Compliance Officer for RBC Wealth Management. He is responsible for the Compliance Program for multiple business lines, including private client, retail brokerage, investment advisory, clearing and advisory services businesses. Prior to joining RBC Wealth Management, Mr. Small was the Chief Legal and Risk Officer for Scottrade where he headed the Legal, Compliance and Enterprise Risk Management functions. He also served in senior Compliance and legal roles with A.G. Edwards & Sons and Craig-Hallum Capital Group. Earlier in his career, Mr. Small was a senior enforcement attorney for both CBOE and NASD Regulation. Mr. Small has served on the boards of the SIFMA/Wharton Securities Industry Institute and the National Society of Compliance Professionals. He has also served as a member of the Securities Industry/Regulatory Council on Continuing Education, FINRA’s e-Brokerage Committee and Chairman of FINRA’s District 4 Committee. Mr. Small holds a J.D. from DePaul University College of Law and a B.A. from Michigan State University.



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