- November 16, 2018
- Posted by: giawatkins
- Category: CFI News, Compliance
John Ivan, CFI’s Managing Director, Regulatory & Compliance, was a featured panelist at Greensfelder’s Annual “Securities Industry Symposium” held yesterday in St Louis, Missouri. In addition to John (far left), the panel on “Ethical Issues in Investigations” included (right to left) moderator Dennis Capriglione, Senior Counsel at Wells Fargo Advisors; Jane Matoesian, Managing Counsel with Benjamin F. Edwards & Co.: Seth Miller, General Counsel, SVP and Chief Risk Officer at Cambridge Investment Research Inc.; and Jessica Newman, Corporate Counsel at Hilliard Lyons. The Securities and Financial Services practice group of Greensfelder, Hemker & Gale, P.C. has hosted this event for the past 10 years.