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| Todd Buchholz Trend Forecaster / Investor / Author A former director of economic policy at the White House, a managing director of the $15 billion Tiger hedge fund, and an award-winning economics teacher at Harvard, Buchholz targets his entertaining remarks to the cutting edge of economics, finance, and business strategy. He has advised President Bush, is a frequent commentator on ABC News, PBS, and CBS, and recently hosted his own special on CNBC. Buchholz has debated such luminaries as Lester Thurow and Nobel Laureate Joseph Stiglitz. He is Co-Founder and Managing Director of Two Oceans Management, LLC and was a fellow at Cambridge University in 2009. Buchholz has authored numerous books that have been translated into a dozen languages and are used in universities worldwide, the likes of which include Harvard, Duke, and Princeton. Market Shock: 9 Economic and Social Upheavals that Will Shake Our Financial Future, was released to rave reviews and dubbed “outstanding” by The Wall Street Journal. Buchholz is also author of the best-selling New Ideas from Dead Economists, New Ideas from Dead CEOs, From Here to Economy, and Lasting Lessons from the Corner Office, which were lavishly praised by The New York Times and Financial Times. His newest book Rush: Why You Need and Love the Rat Race has been named by Publishers Weekly as a “top ten” book for 2011, and has been praised by the Financial Times, Toronto Globe & Mail, L.A. Times, and the BBC, among many others. Buchholz is a contributing editor at Worth magazine, where he writes the “Global Markets” column, and he has penned articles for The New York Times, The Wall Street Journal, Forbes, and Reader’s Digest. He delivered a lecture at the White House entitled Clarity, Honesty, and Modesty in Economics, and has been a keynote speaker before such groups as Microsoft, IBM, Goldman Sachs, and the US Chamber of Commerce. | |
| Walter Costenbader Senior Examiner, FINOP Regulatory Compliance Mr. Costenbader performs AML, branch, and mock FINRA and SEC examinations for broker dealers and registered investment advisors. He also provides FINOP services for multiple Regulatory Compliance broker dealers. He has over twenty years experience as CCO and COO of the broker/dealer and registered investment adviser subsidiaries of a large regional bank and a national insurance company. He also serves as a FINRA Arbitrator. | |
| Laura Crosby-Brown Director of Compliance Regulatory Compliance Ms. Crosby-Brown specializes in broker-dealer registrations, compliance, and examinations and is a CCO and financial and operations principal. She has more than 25 years of compliance experience, having also worked at a large national securities firm where she reviewed representatives' advertising and sales literature, coordinated the firm's continuing education plan, and provided training. She also served as the manager of financial and tax reporting and FINOP for a life insurance-affiliated broker-dealer, performing federal and state financial, tax and regulatory filings; net capital computations; and separate account accounting. Series licenses: 7, 24, 27, 63 | |
| Philip Dawicki Regulatory Accounting Manager Regulatory Compliance With more than 25 years in the financial services industry, Mr. Dawicki manages services to clients in meeting their financial regulatory compliance requirements and is responsible for technical consulting, quality control and practice development. Previously, he spent 17 years at regional and international CPA firms, becoming a specialist in broker-dealer GAAP accounting and FINRA/SEC regulatory reporting systems. He has audited and reviewed net capital and FOCUS reports for compliance with Rule 15c3-1 for broker-dealers in all sectors of the industry. He has also audited and consulted with hedge funds, commodity funds and investment advisery firms. | |
| Joseph DeMarco, CPA DeMarco Sciaccotta Wilkens and Dunleavy A partner and founding member of DeMarco Sciaccotta Wilkens & Dunleavy. He was formally associated with a large CPA firm. Joe has been in the public accounting industry since beginning his career in 1995. His areas of concentration include the financial and professional services as well as the manufacturing and distribution industries. He is also the co-chair of the Focused Audit Alliance which specializes in broker-dealers, hedge funds and registered investment advisors. He graduated from University of Illinois in Champaign-Urbana and is an active member of the AICPA and Illinois CPA Society. | |
| Beverly Fetcko Manager of Broker-Dealer Services Regulatory Compliance Ms. Fetcko is a paralegal, Certified Trust and Financial Advisor (CTFA), and member of the National Society of Compliance Professionals, offering more than 30 years of securities industry experience. Her responsibilities at Regulatory Compliance as the Manager of Broker-Dealer Services include consulting on various compliance issues; oversight of client relationships; conducting AML, branch office, and mock exams; as well as managing the day-to-day activities of the Broker-Dealer PartnerProgram. Prior to joining Regulatory Compliance, Ms. Fetcko was an operations manager with a major Midwest brokerage firm. | |
| Carol Hardiman Compliance Consultant and Senior Examiner Regulatory Compliance Ms. Hardiman performs compliance examinations and other compliance work for Regulatory Compliance clients. Previously, she served as vice president of business solutions for two broker-dealers. In this capacity she analyzed industry services and compliance trends and worked with internal and external customers to define business needs and provide effective solutions. In addition, she identified and successfully implemented several strategic solutions, including technology related to compliance, record retention, account opening, consolidated customer statements, back-office administration, and field web sites. Series licenses: 7, 24 Prior Series licenses: 65 | |
| Craig Moreshead Manager of Investment Adviser Services Regulatory Compliance, LLC Mr. Moreshead manages compliance services for investment adviser clients including registrations, policies and procedures, and examinations. As an attorney with in-depth knowledge of federal securities regulations, Mr. Moreshead specializes in regulatory issues related to hedge fund and private equity managers. Previously, he worked for a large financial services company, where he provided compliance counsel to the registered investment adviser and fund family, broker-dealer, and business executives regarding compliance with federal and state regulatory requirements. | |
| Lisa Sussman Compliance Consultant Regulatory Compliance Ms. Sussman specializes in FINRA Change of Membership Applications (CMA) pursuant to NASD Rule 1017, assisting clients with the many details involved in this complex process, including changes to ownership structure and business lines. She also performs on-site client services such as mock examinations, AML examinations, new office set-ups and branch exams. Ms. Sussman serves as company treasurer and human resources coordinator and works closely with the management team to ensure the company operates efficiently. | |
| Stephen Sussman CEO, President Regulatory Compliance Mr. Sussman founded Regulatory Compliance in 1989, providing broker-dealer and investment adviser compliance consulting services to hundreds of clients worldwide. He has particular expertise in broker-dealer accounting practices and is well versed in SEC-regulated accounting procedures. Prior to starting Regulatory Compliance, he performed exams of SEC-registered investment companies and was a senior examiner with FINRA (formerly NASD) in New York and Boston. | |
| Lori Weston, IACCP Senior Investment Adviser Consultant Regulatory Compliance Ms. Weston’s joined Regulatory Compliance with over fourteen years of experience in the securities industry. In her role as Senior Investment Adviser Consultant, Weston is responsible for investment adviser state, SEC registration and compliance consulting. She also manages day-to-day requirements and requests from RIA Compliance Partners. Prior to Regulatory Compliance, Ms. Weston was a Senior Manager of RIA Compliance for a large NH financial firm where she oversaw compliance and marketing support of corporate and independent RIA's. | |
