Speaker – FSX Conference: Washington, DC

I was a speaker at the FSX Conference in Washington, DC.

The session was for broker dealer Members and various issues that effect broker dealers were discussed including:

  • The new Suitability Rule effective July 9, 2012;
  • Crowdfunding;
  • General compliance and day-to-day operations of a broker dealer.

As always, attendees received practical real advice as well as a suitability worksheet and sample Written Supervisory Procedures (WSPs) relating to the Suitability Rule.

This is a great conference with a group of friendly broker dealers and I look forward to attending more of them.


Panelist – FINRA Annual Conference

I was a panelist at the annual FINRA Conference in Washington DC.

The session was, Managing Compliance Costs: Doing it Yourself, Outsourcing and Consultants.

The session was well attended as there were several hundred people in attendance at the conference. What made the panel unique was that real day-to-day operational questions relating to broker dealers were addressed and various forms as well as practical material were given to the attendees.

This was a great conference with many great sessions and I recommend that all Members attend next year!


Charity IPO Evening on the Floor of the NYSE

At a charity event hosted on the NYSE floor on December 13, 2010, I was awarded the One Angel Award by Just One Life, a charity dedicated to helping children and families. The event was a great success with such luminaries as Guy Adami from CNBC’s Fast Money and Susan O’Halloren from Bloomberg Television as well as numerous Wall Street titans in attendance.


Power Lunch at Oheka Castle

I went to lunch at the Oheka Castle on December 9, 2010 which was hosted by the ever gracious proprietor Mr. Gary Melius. The lunch was attended by various business and political powerhouses where everyone got to meet and greet with a who’s who of New York business and politics. As always, Mr. Frank MacKay regaled us with his terrific stories and his views on local politics. Much thanks to my close friend Gary for the lunch. Check out the magnificent castle and grounds at:


Moderator – The PIPEs Conference Las Vegas

p>I moderated a session at the PIPEs conference in Las Vegas on November 10, 2010.

The Impact of FINREG on PIPE Funds 9:30-10:20AM
The passing of Financial Regulation will have widespread impact on all aspects of the financial community. This panel covers the deadlines for completing SEC investigation and examination, smaller issuers exempted from SOX 404(b), disclosure regarding hedging policies (short sale positions), beneficial ownership and short-swing profit reporting.

Moderator: Ken Norensberg, FINRA Board of Governors
Panelists: Ron Geffner, Sadis & Goldberg; Sam Krieger, Krieger & Prager; Laura Lanza Tyson, Baker Botts