Tim Barker
- Senior Accountant; US Securities & Exchange Commission
Jennifer Bergenfeld, Esq. - Adjunct Associate
Professor Markets; Ethics and Law, New York University
Jeffrey
Bloch - Managing Director & Senior Managing Counsel; Pershing LLC
Barbara Brooke Manning - Chief Compliance Officer; ClearBridge
Advisors
Stephanie Brown - Managing Director and General Counsel; LPL
Financial
Michael Caccese - Partner, K&L Gates LLP
Patrick Collier - Managing Director and Head of Equity Trading;
ClearBridge Advisors
Daniel Connor - Global Head of Operational Risk Control; UBS
Global Asset Management
Aaron DeAngelis - Chief Compliance Officer; Spring Mountain
Capital
Mark Eide - Chief Compliance Officer; Woodbury
Financial Services
Elizabeth Knoblock - Partner; Mayer, Brown, Rowe & Maw
Ellen Krause - VP/Risk Management; PNC Global
Investment Servicing
Richard Marshall - Partner; Ropes & Gray LLP
Robert McCarthy - Director of Regulatory
Compliance; Wachovia Securities
John McGovern - Senior Industry Consultant
William McLucas - Partner, Wilmer Cutler
Pickering Hale & Dorr
William R. Meck - Founder; Meck Compliance Consulting
Thomas Mierswa - Director & Divisional Counsel; Citigroup Global Markets
Ann Oglanian - President and CEO; ReGroup, LLC
Jeff Pruitt - IC Compliance Director, Thrivent Financial for Lutherans
Elaine Rice - Shareholder; Fowler White Boggs P.A.
Richard Y. Roberts - Partner, RR&G, LLC
Kathy Roman - VP, CCO; Valley Forge Capital Advisors Inc.
Brian Rubin - Partner, Sutherland
Steven Stone - Partner; Morgan, Lewis & Bockius
LLP
Richard Szuch - Partner; Bressler, Amery & Ross, PC
David Tittsworth - Executive Director; Investment Adviser
Association
John Walsh - Associate Director and Chief Counsel; OCIE, US
Securities & Exchange Commission
Judy Werner - CCO; Gardner Lewis Asset Management
Lois Yurow - President; Investor Communications Services