Lecturer Bios
Pramit Das
Pramit Das is Associate Director-Technology of FINRA’s Advertising Regulation Department. In this role, his responsibilities include managing a filings review group; assisting with administration of the filings review program; developing and maintaining the department’s technology needs; providing education to members, FINRA staff and other regulatory staff; and participating in certain rule amendment and rulemaking projects as necessary.
He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation. Prior to joining NASD in 1994, Mr. Das worked for Metropolitan Life Insurance Company and Arthur Andersen & Co. He holds an MBA in Finance from the University of Maryland, College Park, and an MA in Financial Economics from Clemson University, Clemson, South Carolina. He was also Series 7 and 63 registered.
Joseph George
Joseph George is Associate Director in FINRA’s Advertising Regulation Department, where he supervises analysts who review communications with the public for compliance with applicable rules. He has been with the department for more than 20 years and has spoken on panels at Advertising Regulation Department Conferences over the past 15 years. Prior to joining FINRA, he worked for New York Life as a registered representative and was a project manager with Computer Sciences Corporation. Mr. George holds a bachelor’s degree in economics from the University of Maryland.
Julie Leitwein
Julie Leitwein, Senior Director of Communications Compliance, is responsible for the review and approval of sales and marketing material for Nationwide Financial Services. She uses a risk-based and collaborative problem-solving approach to ensure the material hits the mark from a business and regulatory perspective. Before joining Compliance, she held various roles in Nationwide Marketing, concentrating on life insurance and annuities in financial institutions, independent broker-dealers and brokerage general agencies. Ms. Leitwein holds Series 6, 7, 24 and 26 licenses and earned a BS in Marketing from The Ohio State University and an MBA from Franklin University in Columbus, Ohio.
Richard T. Choi, Esq.
Richard Choi has extensive experience advising investment companies, investment advisers, broker-dealers, and life insurance companies on federal and state securities and insurance compliance and regulatory matters.
Mr. Choi's experience includes advising investment company boards, independent directors and trustees, and special committees of directors and trustees. He counsels clients on the development and distribution of sophisticated financial products, such as variable annuities, variable life insurance, and face-amount certificates. His experience also includes representation of investment advisers and investment companies in regulatory compliance inspections and examinations, opinions on the availability of 1940 Act exemptions in connection with various types of transactions, and in-house training and education seminars on a variety of regulatory and compliance matters.
He has published numerous articles and regularly speaks on federal securities issues relating to variable insurance products and mutual funds. He has appeared on Bloomberg TV and has been quoted in Bloomberg, the Chicago Tribune, the Los Angeles Times, National Underwriter, U.S. Banker, the Wall Street Journal Online, and other financial and trade publications.
Mr. Choi is the securities and investment companies industry group co-leader.