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2019 FINRA Annual Conference – Oyster’s Dennis, Rosser & Brinkerhoff Attending

May 15, 2019 - May 17, 2019

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FINRA Annual Conference 2019

Oyster Consulting’s General Counsel Patrick M. Dennis, Director Evan Rosser and Associate Director Nikki Brinkerhoff will be attending the FINRA Annual Conference in Washington, DC May 15-17, 2019.   FINRA’s premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and much more.

Patrick M. Dennis has been involved in the securities industry for over 30 years, most recently as one of the Founding Principals of Oyster Consulting, LLC, a compliance, regulatory, operations and technology consulting firm for broker-dealers, investment advisers, mutual funds and hedge funds.  Previously Patrick was a Senior Vice President and Assistant General Counsel to Wachovia Securities, LLC (now Wells Fargo Advisors), or its predecessors. Patrick moved to Wells Fargo in 1998, where he was in charge of all litigation and regulatory matters affecting the retail brokerage firm. He managed securities litigation and arbitration matters until 2003 when he moved into a Senior Regulatory Counsel position. In this capacity, he handled a number of high-profile regulatory matters for the firm including, mutual fund breakpoints, mutual fund market timing, inactive fee-based accounts and closed end funds. Patrick also served as Senior Regulatory Counsel to Wachovia’s Investment Advisory line of business.

Evan Rosser is an experienced and respected securities industry professional with 25 years of experience managing complex securities investigations for NASD/FINRA and providing compliance expertise to both broker-dealers and investment advisors.  As an Oyster consultant, Evan has served as CCO for both investment advisors and broker-dealers, as well as providing compliance support to numerous broker-dealers and registered investment advisors. Evan has also served as an independent consultant in both SEC and FINRA enforcement actions involving Rule 15c3-5 and Market Access, AML, market manipulation and low-prices securities trading. Evan has served as an expert witness in FINRA enforcement actions and arbitrations. Prior to consulting, Evan supervised FINRA Enforcement’s investigative staff of more than 40 supervisors and examiners, and successfully completed hundreds of investigations alleging numerous FINRA and SEC rule violations including NASDAQ and OTCBB trading violations, excessive equity markups, and NASD/FINRA sales practice, corporate financing and advertising rule violations.

Nikki Brinkerhoff has over 20 years of expertise in Financial Services including the technology and operational controls required to achieve compliance and service delivery strategy.  She has extensive experience in Retail and Institutional broker-dealers, Dual registrant BD/RIA, investment banking, bank holding companies and international registrations for U.S. firms.  In addition to her senior roles with FTB Advisors and Regions Bank, she has been an active participant in industry compliance and operations associations and committees including SIFMA, BISA, IIA and ISACA.

 

Details

Start:
May 15, 2019
End:
May 17, 2019
Event Category:
Event Tags:
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Website:
http://www.finra.org/industry/2019-finra-annual-conference

Venue

Mariott Marquis, Washington, DC
901 Massachusetts Avenue NW
Washington, DC 20001 United States
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