Invited and Confirmed Speakers

Jeffrey Blumberg
Partner
Fox, Swibel, Levin & Carroll, LLP

Rick Cohen
Managing Partner
Buchalter Nemer

Beth Ann Coleman
Deputy Chief Compliance Officer, VP
Allianz Global Investors U.S. Holdings LLC

Mark Costley
Partner
Drinker Biddle

Larry Cowen
Vice President & Managing Director
Ascendant Compliance Management

Glenn Doggett
Director, Standards of Practice
CFA Institute

John Gentile
Consultant/ Partner
Ascendant Compliance Management

Christopher Green
Partner
Ropes & Gray

Jackie Hallihan
Consultant/ Partner
Ascendant Compliance Management

Chris Hardy
Consultant/Partner
Ascendant Compliance Management

Michele Hawkins
VP, Chief Compliance Officer
Fort Washington Investment Advisors

Michelle Jacko
Founder & CEO
Core Compliance & Legal Services

Christopher Jackson
Senior VP & General Counsel
Calamos Asset Management

Brian Kawakami
Managing Director
Ascendant Compliance Management

Richard Kemmling
Partner/ President
Ashland Partners

Katie Kloster
Chief Compliance Officer
Varde Partners LP

Korrine Kohm
Vice President
Ascendant Compliance Management

Steven Lentz
Partner
Faegre Baker Daniels, LLP

 

David Lui
Chief Compliance Officer & Principal
Galliard Capital Management

Arthur Man
General Counsel
FLAG Capital Management

Keith Marks
Consultant/Partner
Ascendant Compliance Management

Dianne Mattioli
Chief Compliance Officer
EIM Management (USA) Inc.

Stephanie Monaco
Partner
Mayer Brown

Salvatore Papa
Consultant/Partner
Ascendant Compliance Management

Robert E. Plaze
Partner, Stroock & Stroock & Lavan LLP
(Former Deputy Director, Division of Investment Management, SEC)

David Porteous
Partner
Ulmer & Berne LLP

Stuart Robertshaw
President & CEO
National Association for the Humor Impaired

Kristin Snyder
Acting Regional Director (San Francisco)
U.S. Securities & Exchange Commission

Tim Stearns
SVP/Chief Compliance Officer
Envestnet Asset Management

Steve Stone
Partner
Morgan Lewis

Mike Suppappola
Sr. Associate
Proskauer Rose LLP

Tim Villano
Chief Technology Officer, Compliance Services Consultant
Ascendant Compliance Management

John Walsh 
(Former Associate Director/Chief Counsel, OCIE, SEC)
Partner 
Sutherland

Ashish Ward
Examinations Manager (Los Angeles)
U.S. Securities & Exchange Commission

EJ Yerzak
Compliance Services Consultant, VP of Technology
Ascendant Compliance Management