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Securities Industry Symposium 2022

ST. LOUIS RECORD

Thursday, November 21, 2024

Securities Industry Symposium 2022

Donald Danforth Plant Science Center, 975 N Warson Rd, St. Louis, MO 63132

November 16, 2022

We look forward to seeing you for the annual Securities Industry Symposium, an afternoon of highly informative discussions and networking opportunities with other securities professionals. The symposium is co-hosted by the Bar Association of Metropolitan St. Louis and Greensfelder.

This year's symposium will include interviews of Missouri Securities Commissioner Douglas Jacoby, NASAA President and Iowa Deputy Administrator for Securities Andrew Hartnett, and Gregory Markovich, FINRA Senior Director of its Cyber Enabled Fraud group, as well panels on cybersecurity and current events for dual registrants, which includes panelist Daniel Gregus, Director of the SEC’s Chicago Regional Office.

Agenda: Wednesday, November 16, 2022

12:15 p.m.: Registration

12:45 to 5:20 p.m.: Program

5:20 to 6:30 p.m.: Reception

Location: Donald Danforth Plant Science Center

975 North Warson Road, St. Louis, MO 63132 

The symposium is accredited for 4.6 MO CLE hours..

Please see the full list of interviews and speakers below:

Welcome and Opening Remarks

Untress (Trez) Quinn – Treasurer, Bar Association of Metropolitan St. Louis

Cybersecurity Panel featuring:

Patrick Cox – Expert Witness and Compliance Consultant, Bates Group

Wayne Fajerski - Deputy Chief Information Security Officer, Edward Jones

Nick Puetz – Managing Director, Protiviti

Moderator: Lauren Daming – Officer, Greensfelder, Hemker & Gale, P.C.

Interview with Doug Jacoby

Missouri Securities Commissioner

Interviewer: Lindsay Wuller Aggarwal – Partner, Bryan Cave Leighton Paisner

Current Events for Dual Registrants featuring:

Dan Gregus – SEC’s Director of the Chicago Regional Office

Adam Kruger – Chief Compliance Officer, Moneta Group

John Ivan – Compliance Consultant, Capital Forensics/JS Held

Moderator: Don McBride – Officer, Greensfelder, Hemker & Gale, P.C.

Interview with Andrew Hartnett

NASAA President and Iowa Deputy Administrator for Securities

Interviewer: Beth Conran – Officer, Greensfelder, Hemker & Gale, P.C.

Interview with Gregory Markovich

Senior Director, Cyber Enabled Fraud group at FINRA

Interviewer: Lucie Huger – Officer, Greensfelder, Hemker & Gale, P.C.

Original source can be found here.

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