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.