Lecturer Bios
Jeffrey Herrmann
Jeffrey Herrmann has been with FINRA for 11 years. He began his career in 1996, obtaining his series 7 and 63 registrations while conducting Broker Dealer sales to U.S. Retail and European Institutional Clients. Three year later, he joined the Market-Making Desk of Knight Capital Group where he obtained his series 55 registration. At Knight, Mr. Herrmann conducted Institutional Sales and Trading, specializing in semiconductor trading, merger arbitrage and technical analysis of cash and futures markets. Prior to joining FINRA, Mr. Herrmann also worked as an Operational Risk Specialist in the Global Asset Management business of a top-tier Broker-Dealer and traded his own capital as a registered Proprietary Equity Trader. Currently, Mr. Herrmann is a Manager of FINRA’s Large Firms Cycle Examination Team. Additionally, he works with FINRA’s Regulatory Specialist Program as a member of the Trading and Market Risk and Controls Subject Matter Expert Group and hosts the program’s national conference calls on Algorithmic, Direct Market Access, High Frequency and Proprietary Trading Controls.
Ben Juergens
Ben Juergens is an Executive Director in the Legal and Compliance Division at Morgan Stanley and is the Co-Head of Sales and Trading Compliance for the U.S. He previously provided legal coverage for the Firm’s Public Finance Department and practiced municipal securities law at Chapman and Cutler LLP and Orrick, Herrington & Sutcliffe LLP, serving as bond counsel to a variety of municipal issuers and underwriter’s counsel to various financial institutions. Mr. Juergens received his B.A. from St. Olaf College and his J.D. from Cornell Law School.
George Mandl
George Mandl is Managing Director and Chief Compliance Officer of HSBC Securities (USA) Inc. He has held a variety of senior positions in large, US and non-US owned financial services organizations and SEC-registered broker dealers, including as Deputy Chief Compliance Officer at Mitsubishi UFJ Securities (USA), Inc., Chief Compliance Officer at ITG Inc., Head of Equity Compliance at Nomura Securities International, Inc., and Head of Capital Markets Compliance at Gruntal & Co. He began his career as a regulator at the American Stock Exchange.
Edward McLaren
Edward McLaren is currently Compliance Executive for Bank of America’s Global Banking and Markets Fixed Income, Currencies & Commodities (“FICC”) Division, with compliance oversight responsibilities for cash and derivatives sales and trading activities. He is the Chief Compliance Officer for Merrill Lynch Capital Services, and Merrill Lynch Pierce Fenner and Smith’s Futures Commission Merchant. He joined the bank On August 25, 2014. Prior to joining the bank, Mr. McLaren spent 20 years at J.P. Morgan Chase & Co. in various Compliance positions, including as Managing Director covering various divisions within the Corporate Investment Bank, including: Global Investor Services, North American Credit Markets, Global Emerging Markets, and Global Commodities. Prior to his role at J.P. Morgan Chase & Co., Mr. McLaren was a field supervisor at the National Association of Securities Dealers overseeing examination of fixed income broker-dealers. He holds an MBA in Finance and International Studies from the Leonard N. Stern School of Business at New York University, and a B.A. in Business Administration from Gettysburg College. He has also done post-graduate work in financial derivatives at the New York School of Finance. He carries industry licenses including: the National Commodity Futures License (Series 3), The General Securities Representative License (Series 7), the General Securities Principal License (Series 24), Chief Compliance Officer License (Series 14) and the Options Principal License (Series 4).