Lecturer Bios
Susan DeMando Scott
Susan DeMando Scott, Associate Vice President, Risk Oversight and Operational Regulation, FINRA, is responsible for the supervision of the Financial Operations Policy Department (FinOp). FinOp is responsible for researching and providing interpretative guidance with respect to the SEC’s Net Capital, Customer Protection, and Books and Records rules for approximately 3,800 FINRA member firms that are supervised by FINRA’s 15 District Offices. In conjunction with her responsibilities as Director of FinOp, Ms. Scott has represented FINRA as a panelist, and also as a featured speaker, at various FINRA conferences, as well as at events sponsored by The American Institute of Certified Public Accountants (AICPA), The District of Columbia Bar Association, The Public Company Accounting Oversight Board (PCAOB), the New York State Society of CPAs, and Securities Industry and Financial Markets Association (SIFMA). Ms. Scott has been with FINRA and its predecessor NASD for 21 years. Prior to joining FINRA, Ms. Scott worked in the securities industry for approximately 12 years in various capacities. Her last industry position was as the Chief Financial Officer of Mitchum, Jones, and Templeton located in Los Angeles, California. Ms. Scott has a bachelor’s degree from California State University, Los Angeles, where she majored in finance.
Robert J. Maday
Robert J. Maday is Deputy Director in the Division of Registration and Inspections of the Public Company Accounting Oversight Board (PCAOB). He is a Certified Public Accountant with over 30 years of experience. Mr. Maday currently leads the Broker-Dealer Firm Inspection Program for the PCAOB and is responsible for the offices in the PCAOB’s Southeast Region. He joined the PCAOB in 2005. Previously, Mr. Maday’s career experience was split between public accounting and industry. Immediately prior to joining the PCAOB, he was an Audit Partner with Deloitte specializing in the financial services industry, and in particular, the securities and investment management industries. Prior to that, Mr. Maday served in various capacities for regional banks, including Chief Accounting Officer and Controller, after beginning his career with Ernst & Ernst. Mr. Maday is a graduate of the University of Notre Dame.
Khalid Shah
Khalid Shah is an Associate Chief Accountant in the Office of the Chief Accountant at the U.S. Securities and Exchange Commission (SEC). Khalid focuses primarily on matters relating to audits of SEC registrants and participates in many of the Commission’s activities with respect to its oversight of the Public Company Accounting Oversight Board (PCAOB). Additionally, Khalid monitors the development of auditing standards, consults with registrants and auditors on audit related matters, including independence; and participates in the development of staff guidance and Commission rule proposals. Prior to joining the Commission, Khalid worked in the New York office of Deloitte and Touche LLP, performing audits of public and private companies primarily in the financial services industry. Khalid earned a bachelor’s of Business Administration from the University of Michigan Ann Arbor. He is a Certified Public Accountant in New York and Michigan.
Ernie Wintter
Ernie Wintter is the founder and managing partner of Ernst Wintter & Associates LLP, a CPA firm in Walnut Creek, California. The firm focuses on working with small to mid-sized privately owned businesses and their owners as well as nonprofit organizations to fulfill their audit, accounting and tax needs. The firm’s audit practice has specialized in audits of securities broker dealers since 1989. The firm currently has approximately 35 broker dealer clients and has completed hundreds of broker dealer audits over the last 26 years. Mr. Wintter is a member of the American Institute of Certified Public Accountants and California Society of Certified Public Accountants. He is active in several local and community associations and is a member of the Board of Directors of Hospice of the East Bay.
James H. Williams
James H. Williams is the President of Gogan & Williams, an accommodation broker dealer, located in northern California. Mr. Williams has over 30 years’ experience in the securities’ industry as a CFO, CCO, FINOP, President and owner. Mr. Williams began his securities career in 1985 as the CFO, CCO and FINOP for Planned Investments Inc., a general securities’ firm located in San Francisco, CA. In 1988, he became the Senior V.P., CFO and CCO for Grigsby Brandford, a municipal bond underwriting firm in San Francisco with branch offices in many major cities across the country. In 1992, he founded Financial Telesis Inc. (FTI), a California based broker dealer and RIA, specializing in providing services and support for retirement plan and wealth management representatives and advisors. At the time of its sale in July, 2014, FTI had over 480 reps/advisors, and produced in excess of $81M of annual commissions and fees. He has extensive regulatory experience, including a three year term for the NASD District 1 Committee (2008-2010), and was elected Chairman of that committee in 2010. He is a currently serving a three year term as a member of the FINRA District 1 Committee (2015-2017). He was also a member of the 2010 FINRA Advisory Council. He was elected to the mid-size firm seat on FINRA’s National Adjudicatory Council (NAC) for the 2011-2013 term. He is a past President of the Board of Directors, San Francisco Chapter IAFP, and also served as Treasurer for the National Association of Independent Broker Dealers (NAIBD), a nonprofit broker dealer industry association. Mr. Williams has an undergraduate degree from the University of Maryland and an MBA from Golden Gate University.