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Stephen A. Distante is the Chief Executive Officer of Vanderbilt Securities, LLC, a registered Broker/Dealer specializing in Financial Planning including stocks, bonds, mutual funds, variable annuities and variable life insurance. Steve has been in the securities industry since 1990. His strong accounting and auditing background provides Steve with an excellent understanding of the financial aspects as well as the inherent risks within the securities industry today.
Steve received a BS degree in accounting from St. John's University in New York and began his career at the prestigious CPA firm, Deloitte Haskins & Sells. He is the Founder of Vanderbilt Securities and a Founding partner of Marano Distante, LLC, an international Tax & Audit Firm specializing in small to midsize businesses. Steve is fully licensed with NASD with the Series 7, 24 and 63 as well as current Life and Health licenses.
Vanderbilt Securities, LLC
445 Broadhollow Road
Melville, NY 11747
Phone: (631) 845-5100
Fax: (631) 980-7719
David M. Sobel is Executive Vice President, General Counsel and Chief Compliance Officer of Abel/Noser Corp., a FINRA / NYSE member broker/dealer. He was previously a partner at The Goldstein Law Group, P.C. where he concentrated in the areas of broker-dealer compliance/regulation, securities litigation, including arbitration and mediation, and disciplinary/enforcement matters at the SEC, NYSE, AMEX and FINRA.
Mr. Sobel was a Floor Member of the New York Stock Exchange from 1982 through 1991 as a floor broker for both H.A. Brandt & Co. and First Options of Chicago, and President of his own NYSE member firm, Ampro Securities, Inc. After leaving the NYSE floor, he was a Senior Equity Trader / Market Maker for Trimark Securities.
Mr. Sobel has a Master of Science Degree from Brooklyn College and a Law Degree from Pace Law School where he was an Editor of the Intern’l Law Review and recipient of the Dean’s Award. Since 1998 he has been a member of the FINRA Board of Arbitrators, a current member of FINRA’s District 10 Committee, the Board of Directors of the National Society of Compliance Professionals (NSCP), FINRA’s Small Firm Advisory Board and Chairman of the Board of the National Association of Independent Broker Dealers (NAIBD).
Mr. Sobel has been quoted in and/or interviewed by: Compliance Reporter, WSJ.com, Complinet, Trader’s Magazine, Wall Street Letter, BD Week, Op/Risk and Compliance Magazine, Institutional Investor News, Dow Jones Newswire and is a frequent speaker at securities conferences for SIFMA, NSCP, NRS, NAIBD, FMW and Strategy Institute. Recent Conference topics include: Managing Risk at Small BD; Internal Audits; Supervisory Responsibility, Financial Responsibility, Fraud Prevention in Portfolio Management, Social Networking, Foundations of Compliance, Best Practices and Forensic Compliance.
He is admitted to practice before the Supreme Courts of New York and Connecticut, the U.S. District Courts for the Southern and Eastern Districts of New York and the Second Circuit Court of Appeals. He is a member of the NY County Lawyers Association, the NY State Bar Association and the American Bar Association.
Robert Muh is CEO of Sutter Securities Incorporated. Sutter is a full-service investment banking firm headquartered in San Francisco. The firm was founded in 1992. Sutter provides financial advisory services, fairness opinions, business valuations, litigation support, securities trading, and public finance underwriting. From August 1978 to June 1987, Mr. Muh was a senior managing director with Bear, Stearns where he supervised numerous public offerings and merger assignments. In addition, he provided expert witness testimony and valuations for numerous public and private companies. He was chairman of Newburger, Loeb & Co., Inc. a New York Stock Exchange member firm, from 1970-1972 and a consultant with McKinsey & Co. from1966-1969. Bob is a life trustee of the Massachusetts Institute of Technology and a trustee of The Culinary Institute of America. He is a former chair of The FINRA District Committee for District 1 (Northern California, Northern Nevada and Hawaii), a past member of FINRA’s Small Firm Advisory Board and a member of FINRA’s National Arbitration and Mediation Committee. Mr. Muh has a bachelor’s degree from the Massachusetts Institute of Technology and an M.B.A. and Master of Philosophy degrees from Columbia University. While at Columbia, Mr. Muh was an Adjunct Assistant Professor of Finance. Bob is currently an Adjunct Professor at the University of San Francisco Law School.
Sutter Securities, Inc.
John (Jack) Fitzgerald is a Managing Director – Legal and Compliance at Leerink Swann LLC, an investment banking firm that offers healthcare equity research, corporate finance, capital markets sales and trading and asset management services for institutional and retail clients, where he provides legal and regulatory guidance. He has previously held legal and compliance management positions at American General Funds Distributors, CypressTree Investments, FechtorDetwiler, Boston Stock Exchange and Fidelity Investments. Mr. Fitzgerald served a two-year term on the FINRA Small Firm Advisory Board through December 31, 2009 representing the North Region. He served as a panelist for the 2009 SEC-FINRA BDOutreach Program in Washington, DC and for the 2010 FINRA Annual Conference in Baltimore, MD. A former member of the NASD District 11 Committee (2001-2003, Chair 2003), and NASD Advisory Council (2003), he also served on the District 11 Nominating Committee in 2004-2005 (Chair in 2005) and again in 2010. Other NASD involvement included a two-year term on the NASD Consultative Committee (2004-2005) and as a panelist for various national and District 11 education programs in 2003 and 2004. Mr. Fitzgerald has served as an arbitrator for NASD and New York Stock Exchange and is eligible to serve on FINRA’s Disciplinary Hearing Panels. He received his B.A. from the University of Massachusetts (Amherst) and a J.D. from Suffolk University Law School.
Leerick Swann, LLC.
Robert Hackel is the Managing Director of R.F.Lafferty & Co. a 60 year old Broker/Dealer located in the FinancialDistrict of New York City. The firm specializes in Institutional and Retailbrokerage, Wealth Management and Investment Banking. Mr. Hackel has appeared insuch periodicals as Clearing Quarterly, The Wall Street Journal, Barron's, Securities Industry News and other trade publications.
Rob received his BBA in Finance from Pace Universityand has been in the securities business since 1994. He has worked on the tradedesk at Pershing and also on the floor of the American Stock Exchange for ProEx LLC before joining R.F. Lafferty & Co. in 1997.
Rob has NASD licenses 4,7,24,63,65, 55 and 86.
R.F. Lafferty & Co.
Billy Hopkins, II, President and CEO, started Silver Oak Securities, Inc. in September of 1999 with five investment professionals. Today, Silver Oak works with 135 registered representatives throughout 35 states. Silver Oak has grown its revenue consistently every year since inceptions, while maintain high standards of compliance and professionalism.
In 2011 SOSI started Silver Oak Asset Management and BPG Portfolio Management. An Institutional Fee Based Platform built around the principles of Best Practice Management, Professional Coaching and Institutional Money Management through a unique open architecture program.
Silver Oak Securities, Inc. is a leading Independent Broker Dealer and Registered Investment Advisor Firm. We work exclusively with Independent Financial Advisors and Registered Investment Advisors interested in maintaining their Independence.
Silver Oak Securities, Inc.
Tina B. Maloney is the chairman and majority owner of Winslow, Evans & Crocker, Inc. (“Winslow”), a dually licensed full-service Broker/Dealer and SEC Registered Investment Advisor headquartered in Boston, Massachusetts. Ms. Maloney manages the financial operations and compliance areas of the firm. Since joining Winslow in January 1994, Ms. Maloney has served the firm in the capacities of Chief Operating Officer, Chief Financial Officer, and President.
Ms. Maloney’s career in the securities industry began in 1979. Her experience in
Ms. Maloney is a General Securities Principal, Financial Operations Principal, and a Registered Investment Advisor Representative (Series 24, 27, 7, 63, 65). She is the elected North Region Representative on the FINRA Small Firm Advisory Board, 2006-2010 FINRA District 11 Committee Member, Committee Chair 2009-2010, FINRA 2009-2010 Advisory Council member, and has served on FINRA disciplinary hearing panels. Ms. Maloney is a frequent speaker at conferences on topics of current importance to the industry. She attended Suffolk and Northeastern Universities in Boston.
Winslow, Evans & Crocker, Inc.
175 Federal Street
Phone: (617) 896-3500
Stephen Marsh founded the hosted email archiving and compliance vendor Smarsh, Inc. in 2001, and the organization achieved operating profitability almost immediately with just a handful of clients. Today, Stephen oversees the operation with more than 12,000 clients and 90 employees. The company is headquartered in Portland, Ore. with a second office in New York City.
Stephen was honored in April 2009 by the Portland Business Journal as one of Portland's 40 under 40, young business leaders making a difference in business and in their community. He was also a finalist for the 2009 Ernst & Young Entrepreneur of the Year for the Pacific Northwest. The eponymous founder and CEO is active in every facet of the operation at Smarsh, and is as comfortable providing technical support for clients as he is brokering massive business development. He provides long-term vision for the company combined with a dogged work ethic, technology and financial industry knowledge and business savvy.
Stephen is frequently featured in financial and technology publications and speaks regularly at industry conferences. He earned his undergraduate from Syracuse University and currently lives in Camas, Washington with his wife and three children.
Carolyn May has been a Compliance Consultant to broker/dealers, investment advisors, CPAs and attorneys for over 27 years. Prior to becoming a consultant, her experience included acting as Chief Compliance Officer and Chief Financial Officer for several regional and local small firms (both self clearing and introducing). In addition to her consulting work, Carolyn is currently a Chief Compliance Officer and Advisory Director for Simmons First Investment Group in Little Rock, AR. She has received her Certified Securities Compliance Professional certification through the program offered by the National Society of Compliance Professionals (NSCP). She serves as the Southern Regional Representative to FINRA’s Small Firm Advisory Board. She has also served on the District 5 Committee from 2003 – 2005 (acting as Vice Chairman and Chairman of the Committee); served on the Regional Nominating Committee for the South Region from 2004 – 2005; served on the District Nominating Committee from 2006 – 2007 (served as Chairman); served on the National Advisory Council (2005) and the Consultative Committee (2006 – 2007).
In addition to committee service, Carolyn has been an instructor/developer for several NASD (now FINRA) Seminar Programs and has been an instructor for the Wharton NASD Institute for Professional Development. She has also served on various panels for NASD Regional and National Small Firm Conferences and NSCP National Conferences. Carolyn continues to serve as a Hearing Panelist for FINRA. Carolyn has been a member of NSCP (National Association of Compliance Professionals) since 1989 (she served as Secretary of the Board of Directors from 1992 – 1994) and is a member of the SIFMA Compliance and Legal Division.
Tim Morton is CEO of WBB Securities, LLC a full service FINRA member firm and currently serves on the FINRA District 2 Committee for Southern CA. He is also Chief Operating Officer of Westland Financial Services, Inc., a firm that provides a unique service to the Broker/Dealer Community with compliance oriented marketing support, suitability review and training for life, long term care and fixed annuities. Mr. Morton has been in the securities industry for 28 years, and was formerly President and CEO of JMC Financial Corporation from 1998-2006. JMC was a Broker/dealer specializing in the bank distribution channel and sold nearly $4 billion of fixed and variable annuities and mutual funds through financial institutions. He started his career in this industry with Private Ledger (now LPL) in 1982. Tim has served on the board of directors of NAIBD for many years and chairs the Membership Committee. Mr. Morton also served as a member of the FINRA Small Firms Rules Impact Task Force committee and has participated on several national forums. Tim was born and raised in the San Diego area and received a degree in Information Systems in 1978 from Coleman College. Mr. Morton holds FINRA Series 7, 24, 51, 63 and 79 licenses and is Life Insurance Licensed.
WBB Securities, LLC
Howard Spindel is a Senior Managing Director of Integrated Management Solutions, a consulting organization that renders services to the financial services community since 1985. During 2005, Mr. Spindel co-founded Integrated Investment Solutions LLC, an affiliated hedge fund administrator. He currently serves as the Financial and Operations Principal, Registered Options Principal, General Securities Principal or Chief Compliance Officer of over two dozen FINRA members. After graduating from Hunter College of the City University of New York, where he earned a Bachelor of Science degree in Accounting in 1968, Mr. Spindel began his career in the Technical Research and Review Department and on the audit staff of Oppenheim, Appel, Dixon & Co. In 1971, he became a Certified Public Accountant and is a member of the American Institute of Certified Public Accountants and the New York State Society of Certified Public Accountants,. In 1974, Mr. Spindel became associated with Coopers & Lybrand as an audit supervisor, and then in 1975 with the New York Stock Exchange (NYSE) as manager of the Capital and Operational Standards Section of its Regulation and Surveillance Group. In 1977, Mr. Spindel served as comptroller of Wm. D. Mayer & Co., a NYSE member firm specializing in options trading. In 1980, he became a financial and operations partner at S.B. Lewis & Company, a NYSE member firm specializing in arbitrage and mergers and acquisitions. In 1982, Mr. Spindel was an operations partner of Greenfield Partners, another NYSE member firm.
Mr. Spindel currently serves on the Board of Directors of the Financial Management Society of the Securities Industry and Financial Markets Association (SIFMA), on SIFMA’s Capital Committee and as chair of the Audit Committee of the Boards of Directors of three publicly-held companies. He has served as the elected member of Financial Industry Regulatory Authority’s Small Firms Advisory Board representing the New York region. He has testified as an expert witness in securities industry matters at disciplinary proceedings, civil and criminal court cases, arbitrations, and the United States Congress. He has also served as a featured speaker at various NASD/FINRA and American Institute of Certified Public Accountants sponsored conferences, in each case dealing with issues involving the applicability of rules, procedures and controls to the business of broker-dealers especially small ones.
Integrated Management Solutions USA LLC
John’s experiences include both the regulatory and industry sides of financial services. John began his career in 1974 as an NASD (nka FINRA) examiner and rose to supervisor. In 1984 John co-founded and was Executive VP, COO and CCO of Financial Network Investment Corporation; now a member of the ING broker-dealer network. John has been a Board member of NAVA - The National Association of Variable Annuities; Founding member and past Chairperson of The California Association of Independent Broker Dealers where served on numerous committees; past Member of SIFMA and SIA where he served on various committees; and past member of The Financial Planning Association where he served and chaired various committees.
The Compliance Department Inc
Allegheny Financial Group, LTD