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Hot Topics in Securities Law: Part 1

SKU: FR8400
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This securities CLE series will provide you with a high-level overview of the latest developments in this area. Covering a wide variety of topics, this series includes the following topics:

Bonds: 2017 and Beyond
Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)
Effective Practices for Working With Senior Investors
Hot Topics in AML
Suitability Considerations
Cybersecurity Threats and Loss Prevention
Enforcement Developments

Lecturer Bios

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.

James S. Wrona, Esq.

James S. Wrona is Vice President and Associate General Counsel for FINRA in Washington, DC. In this role, he is responsible for various policy initiatives, rule changes and litigation regarding the securities industry. Mr. Wrona formerly was associated with the law firm of K&L Gates LLP, where his practice focused on complex federal litigation. He also previously served as a federal law clerk for the Honorable A. Andrew Hauk of the United States District Court for the Central District of California (Los Angeles). Mr. Wrona is a frequent speaker at securities and litigation conferences and author of numerous law review articles, including The Best of Both Worlds: A Fact-Based Analysis of the Legal Obligations of Investment Advisers and Broker-Dealers and a Framework for Enhanced Investor Protection, 68 Bus. Law. 1 (Nov. 2012); The Securities Industry and the Internet: A Suitable Match 2001 Colum. Bus. L. Rev. 601 (2001).

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.

Ed Wegener

Ed Wegener is Senior Vice President and Midwest Regional Director for FINRA. In that role, he is responsible for leading the department of Member Regulation’s regulatory efforts for the region including its surveillance and examination programs. Mr. Wegener started with FINRA (fka NASD) in 1998. Since that time, he has lead or been involved in several significant fraud, sales practice and financial and operational examinations and investigations. He has served in a leadership role in a number of key strategic initiatives for the organization including the design and implementation of FINRA’s risk-based examination program. FINRA is responsible for regulating brokerage firms and licensed brokers doing business in the United States. The Midwest Region covers firms and individuals conducting securities business in the states of Illinois, Indiana, Iowa, Kansas, Kentucky, Michigan, Minnesota, Missouri, Nebraska, North Dakota, Ohio, South Dakota and Wisconsin. FINRA’s Midwest Region is made up of approximately 130 surveillance and examination staff. Mr. Wegener is a graduate of Illinois State University and he has a Certified Regulatory and Compliance Professional designation from the FINRA Institute at the Wharton School of the University of Pennsylvania. Mr. Wegener has completed the FINRA Leadership Program at the Wharton School and the Leadership Development Program at the Center for Creative Leadership.

Mary Shea Tucker, Esq.

Mary Shea Tucker is Manager of the Elder Client Initiatives (ECI) Team, within the Wells Fargo Advisors Compliance Department. The ECI Team, which includes paralegals, operations specialists and a Master of Social Work graduate, provides guidance and support to Financial Advisors and Supervisors in situations where there may be concerns about client incapacity and/or elder/vulnerable adult abuse. The ECI Team also is responsible to make reports of suspected elder/vulnerable adult abuse to adult protective services agencies, securities commissioners and law enforcement in all 50 states and U.S. Territories. Ms. Tucker has been with Wells Fargo for almost 12 years. She was a member of the Law Department for the first 10 years, where she advised on technology contracting, client account/branch support issues and operational procedure. Prior to that, she served as senior associate general counsel for the University of Utah and also as associate general counsel for the Salt Lake City 2002 Olympic Winter Games. Ms. Tucker is a newly appointed member of the National Committee for the Prevention of Elder Abuse board of directors. She is admitted to practice law by New York, Utah and Missouri. She received a B.A. in English from Yale and a J.D. from New York University School of Law.

Andy Zolper

Andy Zolper is Chief Information Security Officer for Raymond James Financial, Inc., a diversified financial services provider with subsidiaries engaged in investment and financial planning, investment banking and asset management. Through its three broker-dealer subsidiaries, Raymond James Financial has more than 6,300 financial advisers, serving more than 2.5 million accounts in more than 2,500 locations throughout the United States, Canada and overseas. As CISO, Mr. Zolper provides strategic direction to identify appropriate security measures, sponsors implementation of security solutions, manages daily security operations and provides governance to manage technology risk—all in order to help Raymond James achieve its business objectives. Mr. Zolper was previously at UBS as CISO of its Wealth Management Americas division, and later as global head of IT Risk Management. Prior to joining UBS, he led teams in IT risk management, global program management and business process reengineering at JPMorgan Chase. Before working at JPMC, Mr. Zolper was responsible for application development at Sterling Resources Inc., and developed the company's process reengineering, e-learning and knowledge management software products. Before joining Sterling Resources, he served in various management roles at Verizon, ranging from staff director of competitive intelligence analysis to field management of "fiber to the curb" deployment. Mr. Zolper graduated from the Virginia Military Institute. He is a U.S. Marine Corps veteran, having served as a communications and signals intelligence officer. He is a graduate of SIFMA's Securities Industry Institute at The Wharton School, a Registered Operations Professional (Series 99), a certified Six Sigma Black Belt and a Certified Information Security Manager (CISM). He represents Raymond James on the Advisory Council of BITS, the technology policy division of The Financial Services Roundtable, and is a member of SIFMA’s Cyber Security Working Group.

Christopher B. Stone

Christopher B. Stone is Vice President of FINRA’s Transparency Services Department. He is responsible for business and strategic initiatives related to the department’s equity and fixed income market transparency facilities (TRACE, ADF, ORF and the TRF’s). He also represents FINRA on National Market System Plan policy committees and industry working groups. Prior to working at FINRA, he served as the Senior Special Counsel to Division Director Annette Nazareth in the SEC’s Division of Market Regulation. In that role, he supported the Director in connection with major Division initiatives and rulemakings, including Reg NMS, Reg SRO, Reg SHO, and the SRO Structure Concept Release. Mr. Stone previously was a Special Counsel in the Division of Market Regulation’s Office of Market Supervision where he primarily focused on National Market System Plan issues and market structure reform. Before joining the SEC, Mr. Stone worked at a prominent Washington, D.C. law firm focusing on transactional matters. He received his J.D. from the George Washington University Law School and his B.A. from Dartmouth College.

Eric Kriftcher

Eric Kriftcher is Managing Director and Associate General Counsel at Bank of America Merrill Lynch, where he is primarily responsible for providing legal coverage to the sales and trading businesses within Global Mortgages, Credit and Rates Products. He also is a legal advisor to PriceServe, an independent fixed income pricing service established by Bank of America Merrill Lynch. Previously, Mr. Kriftcher worked in various legal and compliance capacities at Nomura Securities International, Inc. and Lehman Brothers Inc. Mr. Kriftcher was a litigation associate at Simpson Thacher & Bartlett prior to joining Lehman and began his legal career as a law clerk to the Honorable Gerard L. Goettel of the federal district court in New York. Mr. Kriftcher is a member of FINRA’s Fixed Income Committee and an Adjunct Professor at New York Law School. He is a cum laude graduate of St. John’s University School of Law and received his B.A. degree from Wesleyan University.

Elliot Levine

Elliot Levine is Associate Vice President, Chief Counsel and Senior Advisor, Transparency Services at FINRA. In his role as Chief Counsel, he provides legal guidance on various aspects of debt and equity market structure and regulation in connection with FINRA’s operation of TRACE, ADF and the OTCBB. In addition, Mr. Levine has advised several foreign regulators regarding equity and bond market structure and regulation. Before joining FINRA, Mr. Levine held senior, in-house counsel positions including as assistant general counsel at CIBC World Markets and as equity trading and capital markets counsel at Bear Stearns & Co. In his capacity as in-house counsel, he participated extensively on various FINRA, SIA and BMA committees, including SIA’s Capital Markets Committee and as Chair of the BMA’s Corporate Bond Legal Advisory Committee. Mr. Levine has extensive regulatory experience, as he has held staff attorney positions in the Division of Market Regulation at the Securities and Exchange Commission and in the Division of Trading and Markets at the Commodity Futures Trading Commission. Mr. Levine attended Trinity College in Hartford, where he received a bachelor’s degree in history, and American University, Washington College of Law, where he received his law degree.

Craig Noble

Craig Noble was named Director and Head of Capital Markets Trading for Wells Fargo. In this capacity, he is responsible for all taxable, tax-exempt trading and Capital Market Services. He serves on the firm’s New Deal and New Product Review committees. Prior to this, he was an executive vice president and co-director of the Municipal Securities Group of the Tax-Exempt Fixed Income Sales and Trading department at EVEREN. Preceding his time with EVEREN, Mr. Noble was with Lehman Brothers from 1991 to 1993 where he was First Vice President and Manager of the retail sales liaisons of the western region. During his 11-year career at Shearson Lehman Hutton, he served as manager of several of the firm's municipal bond and trading liaison desks. Mr. Noble began his career in the securities brokerage industry in 1981 as an investment broker for E.F. Hutton. In addition to the aforementioned, Mr. Noble is currently on the MSRB Board of Directors and on FINRA’s Fixed Income Committee. Mr. Noble was the past Chairman of the Securities Industry and Financial Markets Association’s Regional Advisory Committee and was on their Municipal Executive Committee. He was also the Vice Chairman of the board of the Bond Dealers of America. He is Series 7, 9/10, 24, 53, 99 and 63 registered.

Marion Halliday

Marion Halliday, Senior Vice President of Janney, Montgomery, Scott LLC, is originally from Louisville, Kentucky. She received her BA with honors in History from Dartmouth College and then graduated from University of Virginia School of Law, where she was a Dillard Fellow and served on the editorial board of the JOURNAL OF LAW AND POLITICS. After law school, she clerked for a federal appellate judge, the Honorable Boyce F. Martin, Jr. of the Sixth Circuit. Ms. Halliday then practiced corporate law at Kentucky law firm, Frost, Brown, Todd (formerly Brown, Todd & Heyburn). She was subsequently appointed head of the Kentucky Division of Securities where she led a group of industry representatives, lawyers, and scholars in the re-writing of the Kentucky Securities Act. At the conclusion of her government appointment, she became Associate Director of Compliance at Hilliard Lyons. Then, in 2009, Ms. Halliday joined Janney, Montgomery, Scott LLC as Chief Compliance Officer for the Private Client Group; in 2014, she became Chief Compliance Officer for the Firm. In addition to her compliance responsibilities at Janney, she, along with other senior women leaders, co-founded “WIN,” Janney’s Women’s Interactive Network. Ms. Halliday is a respected industry leader and public speaker, serving on various SIFMA and FINRA advisory committees and programs. In addition to her legal license, she holds various industry licenses including the Series 7, 14, 24, and 66. For several years, Ms. Halliday served on the FINRA Series 24 Content Committee, which assists FINRA in developing test questions for various supervisory licenses including the Series 24, 23, 72 and 11. In January of 2016, she has appointed to the FINRA CE Council. She is also an active member of SIFMA’s Compliance Regulatory Policy Committee as well as the Regional Firms GC and CCO working group. When she is not working, Ms. Halliday is a board member of the Philadelphia-based non-profit Legacy Youth Tennis foundation.

John Hickey

John Hickey is Deputy District Director for the FINRA New York District Office. He supports the Director in leading and managing the Cycle and Branch regulatory programs for approximately 1000 member firms. Additionally, he works with the Regional Director, District Director, Associate District Directors and Surveillance Directors to develop and implement strategic and tactical measures necessary to ensure timely, high-quality completion of District’s regulatory programs. Prior to this role, Mr. Hickey served as an Associate Director at FINRA and managed a unit of approximately 23 individuals responsible for conducting cycle, cause and branch examinations of several member firms. Mr. Hickey has more than 19 years of regulatory experience while employed at FINRA and prior to that at NASD and has worked as an examiner, supervisor and manager during his career. Before joining NASD, he spent three years in the Operations Department at a clearing firm, where he worked in the Margin Department. Mr. Hickey has a bachelor’s degree in Management from University of Rhode Island. Mr. Hickey also holds the Certified Regulatory and Compliance ProfessionalTM, CRCPTM designation.

Kenneth L. Wagner

Kenneth L. Wagner is a Partner and Chief Compliance Officer for William Blair & Company, LLC in Chicago Illinois. Previously Mr. Wagner had been CCO for Retail Distribution for the Lincoln Financial Group. Before that he was associated for more than 20 years with J.J.B. Hilliard, W.L. Lyons, Inc., during which time he acted in both legal and compliance capacities, including Chief Compliance Officer and General Counsel. Mr. Wagner is a past member of the NASD District 5 Conduct Committee, and was moderator for the District 5 Focus Group of Compliance Officers from its formation in 1994 until 2004. Mr. Wagner is also a past member of the SIA Compliance and Legal Division Executive Committee. Before its merger with FINRA, Mr. Wagner served on several NYSE compliance-related committees. Mr. Wagner also served on the board of the National Society of Compliance Professionals (“NSCP”) from 2007 – 2010 and on the CE Council from 2011 – 2014. He currently serves on the Series 4/9/10 Exam Review Committee, and the Business Conduct Committee of the CBOE. Mr. Wagner obtained a BA from Northern Kentucky University, an MA from the University of Cincinnati and JD from University of Kentucky. Mr. Wagner is a frequent speaker at industry seminars and conferences.

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.

Yvette Q. Panetta

Yvette Q. Panetta is the Deputy Director in FINRA’s Florida District Office located in Boca Raton, Florida where she is primarily responsible for the Member Regulation Examination Program and FINRA’s Securities Helpline for seniors. Ms. Panetta responsibilities include managing the Sales Practice Examination Program, the Cause Examination Program, and the Surveillance Program. She is also actively involved in several initiatives related to current industry topics. Prior to joining FINRA, Ms. Panetta served as an examination manager with the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations located in New York. Ms. Panetta received her undergraduate and graduate degrees from Baruch College, The City University of New York where she graduated with honors. Ms. Panetta also holds the title of Certified Public Accountant from the American Institute of Certified Public Accountants.

Christopher Majeski

Chris Majeski is Managing Director, Global Wealth and Investment Compliance Executive for Merrill Edge, Merrill Lynch Wealth Management, Wealth Management Banking, and Bank of America / Merrill Lynch, Pierce, Fenner & Smith. In this capacity, he oversees a team that is central to reinforcing a strong risk management culture and leading the overall compliance framework for each business unit. With more than 20 years experience, Mr. Majeski has served in a number of capacities in financial services across the globe. Prior to assuming his current role in 2010, he was based in Singapore as the regional compliance executive for the Pacific Rim Wealth Management and Corporate Banking – Treasury Services lines of business, and also provided overall country coverage for S.E. Asia. Prior to that, he was based in the U.S. as internal audit executive for ML’s U.S. Banks and Global Corporate Credit & Commitments. In London, he served as internal audit executive for Europe, Middle East, and Africa Wealth Management and ML’s International Banks. Prior to joining ML in 1999, he was with Deloitte&Touche and PriceWaterhouseCoopers covering financial services. He received his Bachelor of Science in Accounting from Rider University.

Jason Foye

Jason Foye is Examination Manager in FINRA's Anti-Money Laundering Investigations Unit (AMLIU). In this role he manages a team of eight examiners located throughout the country and has responsibility for managing AMLIU investigations, consulting with other FINRA staff nationally on AML-related examination, assists in the development of FINRA’s AML priorities and delivers AML training to FINRA staff and associated persons of member firms. Mr. Foye has been with FINRA for 10 years and previously worked as an examiner in the Florida District before assisting in the AMLIU’s creation five years ago. He is a graduate of FINRA’s Excellence in Management program at Wharton and is a Certified Anti-Money Laundering Specialist (CAMS), a Certified Fraud Examiner (CFE) and has been an invited speaker at numerous industry sponsored conferences focused on AML trends and issues.

Brent P. Cohen, Esq.

Brent P. Cohen is the U.S. Head of AML Compliance at RBC Capital Markets, LLC responsible for oversight of AML, sanctions and the financial crime program for the institutional trading business, investment banking, corporate banking and the Royal Bank of Canada-New York branch. Prior to RBC Capital Markets LLC, Mr. Cohen served as the Director of AML Compliance within FINRA’s Enforcement Department. His primary responsibilities included assisting with anti-money laundering issues arising in investigations and examinations, as well as advising staff FINRA-wide on issues involving the handling of suspicious activity reports (SARs). Before FINRA, Mr. Cohen was a vice president in the AML-Suspicious Activities Group at Goldman Sachs & Co. In that role, he was responsible for investigating potentially suspicious activity across the firm's various business lines, including private wealth management, prime brokerage and clearing and execution. Mr. Cohen also previously served as an assistant general counsel in the Money Laundering Prevention Group at UBS Financial Services, Inc., where he investigated possible violations of the Bank Secrecy Act ("BSA") and provided legal advice to business units concerning BSA requirements and the implementation of the firm's policies and procedures. Mr. Cohen received his B.A. from the State University of New York at Albany, from which he graduated summa cum laude, and his J.D., with honors, from the University of North Carolina School of Law.

Sterling Daines

Sterling Daines is deputy head of Financial Crime Compliance. He also manages the global Anti-Money Laundering/Suspicious Activities Group (AMLSAG), which is responsible for executing the firm’s anti-money laundering program firm wide. Mr. Daines joined Goldman Sachs in 2007 and was named managing director in 2010. Prior to joining the firm, Mr. Daines was a principal in the Forensic and Dispute Services practice at Deloitte Financial Advisory Services LLP, specializing in issues and investigations related to anti-money laundering, international sanctions, fraud, anti-bribery and corruption, and forensic technology within the financial services industry. He was also the national leader of Deloitte’s Forensic Data Analytics practice and a consultant to numerous private and public institutions, including the United States Department of Justice and the Financial Crimes Enforcement Network. Mr. Daines is currently the co-chairman of the Anti-Money Laundering and Financial Crimes Committee of the Securities Industry and Financial Markets Association (SIFMA) in the United States. Mr. Daines also co-chairs the Wolfsberg Group, an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks. Mr. Daines earned a BA in History and Government from The College of William and Mary in 1990.

John Fahey

John Fahey is Branch Chief in the SEC’s Division of Trading and Markets, Office of Chief Counsel. His work focuses primarily on anti-money laundering issues related to broker-dealers. As a member of the Office of Sales Practices, he also works on a range of broker-dealer regulatory issues, including those affecting senior investors and the distribution of insurance security products. He is a graduate of the Georgetown University Law Center, Georgetown University, and Lafayette College.

Kay Johnson

Kay Johnson is Chief Compliance Officer of National Securities Corporation and vFinance Investments, Inc., and Vice President and CCO of National Asset Management, Inc. National Securities is a large, full-service independent brokerage firm that provides a broad range of securities brokerage and investment services to retail and institutional clients, as well as corporate finance and investment-banking services to corporations and other businesses. vFinance Investments is a broker-dealer specializing in institutional trading and market making. National Asset Management is an SEC-registered investment adviser. Ms. Johnson oversees all facets of compliance functions and manages regulatory relationships for these entities, which have more than 750 registered persons combined within more than 140 branches. In addition to maintaining compliance policies and procedures to keep up with ever-changing business lines and regulations, her compliance team conducts and is responsible for AML, continuing education, internal auditing, regulatory inquiries and exams, annual compliance meetings, and designing and implementing effective coordination and communication of compliance initiatives throughout the firm. Ms. Johnson completed the Certified Regulatory Compliance Professional™ (CRCP™) designation at The FINRA Institute at Wharton in 2006. She serves on the FINRA Committee on Continuing Education and is currently serving her second term on the FINRA District Committee. She has also served as a volunteer panelist on an extended disciplinary hearing and as an arbitrator and chairperson for FINRA Dispute Resolution. Previously she served on the FINRA Registration and Qualification Subcommittee.

David Kelley

Dave Kelley is the Surveillance Director based out of FINRA’s Kansas City District office, and has been with FINRA for six years. Mr. Kelley also leads FINRA’s Sales Practice exam program for cybersecurity and the Regulatory Specialist team for Cyber Security, IT Controls and Privacy. Prior to joining FINRA, he worked for more than 19 years at American Century Investments in various positions, including Chief Privacy Officer, Director of IT Audit and Director of Electronic Commerce Controls. He led the development of website controls, including customer application security, ethical hacking programs and application controls. Mr. Kelley is a CPA and Certified Internal Auditor, and previously held the Series 7 and 24 licenses.

Richard Hannibal

Richard Hannibal has been an Assistant Director in the SEC’s Office of Compliance Inspections and Examinations for 18 years and has been with the Commission for 22 years. After serving 17 years in the Broker-Dealer Examination Program, he recently moved over to OCIE’s Technology Controls Program. Previously, he was a branch chief conducting inspections of the Self-Regulatory Organizations. Prior to coming to the Commission, Mr. Hannibal spent five years at the Legal Services Corporation (government funded legal aid) in a senior regulatory position and seven years as a litigator with a small DC law firm. Mr. Hannibal is a graduate of Wheaton College (Illinois) and Georgetown University Law Center (JD).

Stephanie Mumford

Stephanie Mumford is the Chief Compliance Officer and Senior Legal Counsel of T. Rowe Price Investment Services, Inc., within the Legal Division of T. Rowe Price. In this role, Ms. Mumford provides legal counsel and guidance related to T. Rowe Price Investment Services, Inc., and distribution-related initiatives and business activities in the U.S. Intermediaries and the Individual & Retirement Plan Services divisions. Prior to joining T. Rowe Price in 2013, Ms. Mumford served as special counsel for the Securities and Exchange Commission (SEC) in the Division of Trading and Markets. She previously held the position of senior counsel in SEC’s Office of Compliance Inspections and Examinations. Before her experience at the SEC, Ms. Mumford worked at the Financial Industry Regulatory Authority (FINRA) as counsel in FINRA’s Market Regulation Department. In addition, she previously held compliance positions at Linsco/Private Ledger and The Vanguard Group. Ms. Mumford received her B.A. from Washington and Jefferson College, her M.B.A. from Clemson University and her J.D. from the University of San Diego School of Law. She is a Series 4, 7, 24, and 53 registered representative and is a member of the New York State Bar Association.

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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