2016 FINRA Annual Conference Speaker Biographies

1 2016 FINRA Annual Conference Speaker Biographies F. Gregory Ahern, Executive Vice President for Corporate Communications and Government Relations, is responsible for FINRA 's media, government relations, member relations and investor education programs, and oversees FINRA 's editorial, production, design and multimedia communications services. Previously, Mr. Ahern was the Chief Public Communications Officer for the Investment Company Institute (ICI), where he was responsible for all strategic communications. Prior to joining ICI, he was Senior Vice President of Marketing and Communications at Jennison Associates, and from 1994 to 2002, served as Senior Vice President for External Affairs at State Street Corporation. From 1985 to 1994, Mr. Ahern was head of marketing and communications at The Boston Company. Mr. Ahern began his career as a banker and held various private banking positions in the United States and in London. He received his bachelor of arts degree from Brown University, and serves on the board of the Westerly Hospital Foundation and Employee Benefit Research Institute.

2 Patricia Albrecht is a senior director with FINRA 's Member Relations and Education Department and manages the FINRA Institute at Wharton for the Certified Regulatory and Compliance Professional (CRCP ) program and FINRA 's Half-Day Compliance Boot Camp program. Previously, she was an associate general counsel in FINRA 's Office of General Counsel, and served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA . She also has worked at the Securities and Exchange Commission in various offices and departments, including the Office of General Counsel and the Division of Trading and Markets, and serving as a counselor to Commissioner Norman Johnson. In addition, Ms. Albrecht worked for several years as a staff attorney at the Federal Fifth Circuit Court of Appeals and completed a federal judicial clerkship with District Court Judge Harry Lee Hudspeth. Adam H. Arkel is Associate General Counsel at the Financial Industry Regulatory Authority ( FINRA ).

3 In this role, he helps develop policies and rules governing FINRA member firms, including such areas as broker-dealer financial responsibility and risk oversight, regulation of derivatives, and crowdfunding. Prior to joining FINRA , Mr. Arkel was an Associate at a large law firm in Washington, DC, where he represented firms and individuals in connection with Securities and Exchange Commission investigations and enforcement actions. Mr. Arkel completed his JD at Duke University School of Law. He completed MA and PhD degrees in political science at the University of Chicago, where his research focused on the Greater China region. Norm Ashkenas is Senior Vice President, CCO for Fidelity Brokerage Services, running Broker/Dealer and Insurance compliance for Fidelity Investments' retail and retirement business. He has been with Fidelity since 2003 in various compliance leadership roles, including field, product and regulatory, internal controls and ASL.

4 Covering B/D, IA, ERISA/Tax and TA issues. He has also been CCO for Fidelity Distributors Corporation and Fidelity Personal Trust. Previously, Mr. Ashkenas spent 10 years with Prudential Securities as SVP for Regulatory & Compliance Examinations, and VP/Associate General Counsel. Prior to that, he was a litigation attorney with Chemical Bank. He is on the FINRA District 11 Committee and Membership Committee, has served on the Regulatory Advisory Committee, and is on the Board of Directors for NSCP and chair of the NSCP Broker/Dealer Committee. Mr. Ashkenas has spoken frequently at industry conferences such as the FINRA Annual Conference , 2016 Financial Industry Regulatory Authority, Inc. All rights reserved. 1. SIFMA Compliance & Legal Division Annual Seminar and NSCP National & Regional Meetings. He earned a BA. from Northwestern University and JD from Fordham Law School, and holds Series 7, 14, 24 & 63. Derek Ashworth is a manager in FINRA 's Advertising Regulation Department.

5 Previously, he was an associate manager and analyst in the Department, serving in similar roles at NASD before its 2007 consolidation with NYSE. Member Regulation, which resulted in the formation of FINRA . Prior to joining NASD, Derek was a program manager for a business and education partnership at Nova Southeastern University in Fort Lauderdale, FL. Previous to this role, he was a specialty banker and registered representative with First Union in West Palm Beach, FL. Mr. Ashworth received his bachelor's degree from Stetson University and completed his at Johns Hopkins University. Afshin Atabaki is Associate General Counsel in FINRA 's Office of General Counsel, Regulatory Practice and Policy. In this capacity, he renders legal advice and support to FINRA management and staff in connection with regulatory initiatives and develops and interprets FINRA rules. His areas of regulatory expertise include recordkeeping requirements. Mr. Atabaki graduated Phi Beta Kappa, cum laude, from the University of Maryland, College Park, with a in History and received his law degree from Cleveland-Marshall College of Law.

6 Suzy Auletta is the Executive Vice President and Chief Compliance Officer of LPL Financial. Ms. Auletta is responsible for the coordination and execution of a variety of functions within compliance as well as registrations. Most notably, she is responsible for the existing brokerage surveillance team, incorporating oversight and monitoring functions from other parts of GRC, and developing a holistic multi-year plan for oversight and monitoring systems, processes, and infrastructure. Ms. Auletta has more than 25 years of experience specializing in regulation, compliance, surveillance, and business management in the financial services and securities industry. She worked most recently as a managing director in Global Wealth Investment Management Compliance at Bank of America Merrill Lynch, where she managed a team of more than 90 professionals performing essential compliance functions, including branch examinations, compliance monitoring, testing, and surveillance, regulatory exam management, and vendor compliance.

7 In earlier roles, Ms. Auletta served as the chief compliance officer and regulatory counsel for a large NYSE specialist firm and as a defense attorney at a law firm specializing in regulatory litigation. She began her career as an enforcement attorney at the American Stock Exchange, where she remained for over 11 years, ultimately serving as chief counsel. Ms. Auletta earned a Bachelor of Arts in psychology and sociology from the State University of New York at Albany and a Juris Doctorate from Brooklyn Law School. Susan Axelrod is FINRA 's Executive Vice President of Regulatory Operations. In this capacity, she oversees Enforcement, the Office of Fraud Detection and Market Intelligence, and Member Regulation. Before being named to her current role, Ms. Axelrod was Executive Vice President and Head of Member Regulation Sales Practice, with responsibility for ongoing surveillance and examinations, both routine and investigative, of FINRA - regulated securities firms.

8 She was appointed to this position in July 2010. Previously, Ms. Axelrod was FINRA . Senior Vice President and Deputy of Regulatory Operations. Her responsibilities included assisting in the oversight of the Market Regulation, Enforcement and Member Regulation functions at FINRA . She also played a key role in the integration of NASD and NYSE Member Regulation. Prior to joining FINRA in 2007, Ms. Axelrod was Chief of Staff to the CEO of NYSE Regulation for three years. In this position, her responsibilities included overseeing operations on a day-to-day basis and acting as a liaison with various business areas, including finance, human resources, government relations and communications. Ms. Axelrod joined the NYSE in 1989 as a staff attorney in the division of enforcement and became an enforcement director in 1997. Among the cases she handled were those involving specialist and floor broker misconduct, insider trading, upstairs trading, sales practice violations, and financial and operational compliance issues.

9 She received her law degree from the Hofstra University School of Law in 1989 and her bachelor's degree from Emory University in 1986. Jay Balacek is Deputy Head of JPMorgan Chase's litigation department focusing primarily on government investigations, regulatory enforcement matters, congressional inquiries and internal reviews and investigations. Prior to joining JPMorgan Chase, he held a similar position at the Bank of New York. Before the Bank of New York, he held several public sector positions including: Assistant United States Attorney ( Attorney's Office for 2016 Financial Industry Regulatory Authority, Inc. All rights reserved. 2. the District of Columbia); Branch Chief, Securities and Exchange Commission, Division of Enforcement (Washington, ); and Patrol Officer, New York City Police Department. Mr. Balacek received his from Albany Law School. Craig Barrack is a Managing Director and General Counsel of Banking, Capital Markets Origination and Research at Citigroup Global Markets.

10 He and his team have primary responsibility for capital markets, leveraged finance, the corporate and investment banks and research. He is also counsel to and a member of Citi's Commitment Committee, Investor Issues Committee and Fairness Opinion Committee. Since joining Citi in 1997, Craig has worked in Citi's Corporate Law department (where he advised Citi on a broad range of capital markets, M&A, securities law and corporate governance issues) and was the Chief of Staff to Citi's General Counsel. Craig was also the General Counsel for Citi's alternative investments and global research businesses. Prior to joining Citi, he was an associate at Schulte Roth & Zabel. Craig graduated from Cardozo Law School, where he was Managing Editor of the Cardozo Law Review. He participates in various professional and industry groups. J. Bradley Bennett is FINRA 's Executive Vice President of Enforcement. He joined FINRA in January 2011, and is responsible for overseeing FINRA 's Department of Enforcement.