Overview

CubeThe C&L Society San Francisco Regional Seminar gathers compliance and legal professionals working in the financial services industry to exchange ideas, strategies and guidance on ways to gain a competitive advantage in the increasingly complex and changing regulatory and compliance arenas.

C&L Society San Francisco Regional Seminar

Date

July 24, 2019

Location

San Francisco, CA

Overview

CubeThe C&L Society San Francisco Regional Seminar gathers compliance and legal professionals working in the financial services industry to exchange ideas, strategies and guidance on ways to gain a competitive advantage in the increasingly complex and changing regulatory and compliance arenas.

Pricing

Industry Member
Early Bird Rates $200
Pre-Conference Rates $250
On-Site Rates $300
Counsel Member
Early Bird Rates $300
Pre-Conference Rates $350
On-Site Rates $400
Special Member
Early Bird Rates $300
Pre-Conference Rates $350
On-Site Rates $400
Non-Member
Early Bird Rates $500
Pre-Conference Rates $550
On-Site Rates $600
Regulator
Early Bird Rates $50
Pre-Conference Rates $50
On-Site Rates $50
Pricing
Industry Member Counsel Member Special Member Non-Member Regulator
Early Bird Rates $200 $300 $300 $500 $50
Pre-Conference Rates $250 $350 $350 $550 $50
On-Site Rates $300 $400 $400 $600 $50

Program

8:00am – 5:00pm

Registration Desk Hours

8:00am – 8:45am

Networking Breakfast

8:45am – 8:50am

Participants

Barbara Armeli

Speaker

Barbara Armeli

Chief Compliance Officer

Charles Schwab & Co., Inc

Seminar Co-Chairperson

Barbara Armeli’s Biography

8:50am – 9:20am

Participants

Bari M. Havlik, Michelle Bryan Oroschakoff

Speakers

Bari M. Havlik

Executive Vice President, Member Supervision

FINRA

Bari M. Havlik’s Biography

Michelle Bryan Oroschakoff

Chief Legal Officer

LPL Financial LLC

Michelle Bryan Oroschakoff’s Biography

9:20am – 10:20am

Participants

Brad Ahrens, Elizabeth H. Baird, W. Hardy Callcott, Chanchal Chatterjee, Julius Leiman-Carbia

Moderator

Brad Ahrens

Vice President of the Compliance Surveillance Technology and Analytics Group

Charles Schwab & Co., Inc

Brad Ahrens’s Biography

Panelists

Elizabeth H. Baird

Deputy Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Elizabeth H. Baird’s Biography

Chanchal Chatterjee

Program Manager for AI/ML

Google

Chanchal Chatterjee’s Biography

Julius Leiman-Carbia

Chief Legal Officer & Chief Compliance Officer

Wealthfront Inc.

Julius Leiman-Carbia’s Biography

10:20am – 10:40am

10:40am – 11:40am

Participants

Greg Ruppert, Carlo V. di Florio, Ryder Hill, A.J. Singh, Christos Tsamadias

Moderator

Greg Ruppert

Senior Vice President – Financial Crimes Risk Management

Charles Schwab & Co., Inc.

Greg Ruppert’s Biography

Panelists

Carlo V. di Florio

Chief Risk Officer & Head of Strategy

FINRA

Carlo V. di Florio’s Biography

Ryder Hill

Sr. Vice President, Associate General Counsel

LPL Financial LLC

Ryder Hill’s Biography

A.J. Singh

Supervisory Special Agent

Federal Bureau of Investigations

A.J. Singh’s Biography

Christos Tsamadias

Managing Director, Head of Wealth Management US Audit

UBS Wealth Management

Christos Tsamadias’s Biography

11:40am – 12:40pm

Networking Luncheon

12:40pm – 1:40pm

Participants

Ira D. Hammerman, Christopher Gilkerson, Yoon-Young Lee, Robert McCarthy, Allen Meyer

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Panelists

Christopher Gilkerson

Senior Vice President, Chief Legal Officer and General Counsel

Charles Schwab & Co., Inc.

Christopher Gilkerson’s Biography

Yoon-Young Lee

Partner

WilmerHale

Yoon-Young Lee’s Biography

Robert McCarthy

Senior Vice President & Director of Regulatory Policy

Wells Fargo Advisors

Robert McCarthy’s Biography

Allen Meyer

Partner, Finance & Risk, Public Policy and Corporate & Institutional Banking

Oliver Wyman

Allen Meyer’s Biography

1:40pm – 2:40pm

Participants

Cece Baute Mavico, Emily P. Gordy, Thomas Nelli, Erin Schneider, David Sparks

Moderator

Cece Baute Mavico

Senior Vice President & Associate Counsel

LPL Financial LLC

Cece Baute Mavico’s Biography

Panelists

Thomas Nelli

Senior Vice President and Regional Director

FINRA

Thomas Nelli’s Biography

Erin Schneider

Director of the San Francisco Regional Office

U.S. Securities and Exchange Commission

Erin Schneider’s Biography

David Sparks

Senior Vice President & General Counsel

Raymond James Financial, Inc.

David Sparks’s Biography

2:40pm – 3:00pm

Networking Break

3:00pm – 4:00pm

Non-Traditional “Customer” Claims and New Case Types Vulnerable and Senior Investors Update on Civil Litigation against Securities Industry Defendants Customer Arbitration & Litigation in the Social Media Era

  • Non-Traditional “Customer” Claims and New Case Types
  • Vulnerable and Senior Investors
  • Update on Civil Litigation against Securities Industry Defendants
  • Customer Arbitration & Litigation in the Social Media Era

Participants

Linda Drucker, Joseph E. Floren, Richard Gallagher, David Jonson, Gregory Scanlon

Moderator

Linda Drucker

Senior Legal Counsel

Bank of the West

Linda Drucker’s Biography

Panelists

David Jonson

Senior Vice President and Head of Litigation and Arbitration

LPL Financial Holdings Inc.

David Jonson’s Biography

Gregory Scanlon

Vice President & Associate General Counsel, Corporate Legal Services

Charles Schwab

Gregory Scanlon’s Biography

4:00pm – 4:05pm

Participants

Tracy Calder

Speaker

Tracy Calder

Chief Risk Officer

LPL Financial LLC

Tracy Calder’s Biography

4:05pm – 5:00pm

Networking Reception

Venue

Charles Schwab Center

211 Main Street
San Francisco, CA 94105

Media

Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official press policy.

Accreditation

CLE Credit

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Parts of this program will be available for CLE credits. Fee reduction may be available for qualified registrants. SIFMA will offer CLE credits for the following states:

  • California
  • Florida
  • New Jersey
  • New York

It is the responsibility of the registrant to comply with all rules and regulations governing the jurisdictions in which the attendee is seeking credit. Panel attendance must be certified by each registrant seeking CLE credits. Attendees do not need to certify after each panel. CLE Credit cannot be certified after the Seminar adjourns.

CLE Credit

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.