NASAA's Senior Issues and Diminished Capacity Committee Presents: Securities Regulators and Adult Protective Services Agents Speak

Includes a Live Web Event on 11/03/2022 at 2:30 PM (EDT)

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November 3, 2022

2:30 p.m. EDT | 1:30 p.m. CDT | 12:30 p.m. MDT | 11:30 a.m. PDT

Welcoming Remarks

  • Andrew Hartnett, NASAA President and Deputy Administrator for Securities, Iowa Insurance Division

Program Host

  • Richard Szuch, Chair, NASAA’s Senior Issues and Diminished Capacity Committee, New Jersey Bureau of Securities

Panel Guests

  • Suzanne McGovern, Securities and Exchange Commission
  • Amanda Senn, Alabama Securities Commission
  • Joseph Snyder, National Adult Protective Services Association (retired)
  • Jennifer Spoeri, National Adult Protective  Services Association
  • Jeanette Wingler, FINRA
  • Jim Wrona, FINRA

Meet Your Speakers

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Andrew Hartnett
NASAA President and Deputy Administrator for Securities
Iowa Insurance Division


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Richard Szuch
Chair, NASAA’s Senior Issues and Diminished Capacity Committee
New Jersey Bureau of Securities

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Suzanne McGovern
Securities and Exchange Commission

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Amanda Senn
Alabama Securities Commission

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Joseph Snyder
National Adult Protective Services Association (retired)

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Jennifer Spoeri
National Adult Protective Services Association

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Jeanette Wingler
FINRA

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Jim Wrona
FINRA

For additional information please email us at register@nasaa.org.
Components visible upon registration.

Andrew Hartnett

NASAA President and Deputy Administrator for Securities

Iowa Insurance Division

Andrew Hartnett is the Deputy Administrator for Securities in the Iowa Insurance Division where he directs the activities of the Securities and Regulated Industries Bureau. He currently serves as President-Elect of the North American Securities Administrators Association (NASAA) and will serve as the Association's 2022-2023 President, NASAA's 105th president. Andrew brings to these roles experience as a state securities regulator in two jurisdictions, as an Assistant Attorney General, and several years in private practice.   Prior to becoming the principal Iowa securities regulator, Andrew spent almost a decade in Missouri state government. As Missouri Commissioner of Securities, he directed the Missouri Securities Division, spearheaded the drafting and passage of the innovative Missouri Senior Savings Protection Act to prevent financial exploitation of senior citizens, and led the team that created the cybersecurity examination module first used by most state regulators.   While at the Missouri Attorney General’s office, Andrew first served as an Assistant Attorney General in the Consumer Protection Division, handling all aspects of consumer protection, antitrust and securities investigations and litigation. He was ultimately promoted to serve as chief of staff to then-Missouri Attorney General Chris Koster.  During his time in government, Andrew has been active in NAAG and NASAA. Prior to being elected to the Board of Directors of NASAA in 2019 and as President-Elect in 2021, Andrew twice chaired the NASAA Enforcement Section and also chaired the Broker-Dealer Section. Over the years, Andrew has also chaired Board committees focused on cybersecurity, technology, and federal legislation.  Andrew began his legal career at Bryan Cave. Between his government service in Missouri and Iowa, he was a partner (officer) at Greensfelder, Hemker & Gale, where he worked on data privacy matters and represented broker-dealers and investment advisers in regulatory and enforcement matters. Andrew earned his bachelor's degree from Catholic University, a master’s degree from New York University, and a J.D. from Saint Louis University.

Richard Szuch

Chair, NASAA’s Senior Issues and Diminished Capacity Committee,

New Jersey Bureau of Securities


Richard Szuch has served in public and private roles in the law for more than 30 years. Currently, he serves as the Enforcement Chief for the New Jersey Bureau of Securities. New Jersey has jurisdiction over more than 200,000 registered agents. The enforcement unit handles investigations and makes recommendations about enforcement actions related to securities law violations, whether by Investment Advisers or Broker- Dealers (and their agents) or unregistered persons. He oversees the administration of financial exploitation reports filed in the state pursuant to New Jersey’s SAFE Act, a report and hold law requiring reports by financial services firms whenever elder/vulnerable investor exploitation is suspected. He serves as Chair of NASAA’s Senior Issues and Diminished Capacity Committee, which devotes its time to improving industry and regulatory efforts to protect at-risk investors. Prior to this, Rich defended the financial services industry for decades. He represented national and regional banks, broker-dealers and investment advisers and counseled them with respect to their legal and regulatory obligations. He helped coordinate the defense of some of the largest securities arbitration cases in the country. Rich also formed Bressler Amery & Ross’s Senior & Vulnerable Investor Group and was a primary architect in the construction of its trademark tool, the Bressler Map, an internet-based search engine designed to help regulators and the industry navigate the country’s complex mosaic of at-risk investor exploitation laws.

Suzanne McGovern

Senior Advisor

U.S. Securities and Exchange Commission

Suzanne McGovern is a Senior Advisor in the Office of Investor Education and Advocacy (OIEA) at the U.S. Securities and Exchange Commission.   She has been with the agency for 16 years.  Before her role at the OIEA, she acted as the SEC’s Assistant Director of the National Division of Examinations, Broker-Dealer Examination Program.  There, Suzy oversaw the broker dealer, investment adviser and other market participant exam programs.  She also led the Commission’s effort to construct a new examination program for Municipal Advisors, and she influenced the SEC initiatives related to anti-money laundering, the ETF market, 529 plans, the bond market and broker-dealer outreach.   In 2006, she launched a first-of-its-kind, joint regulatory agency effort to examine older investor issues, working side by side with FINRA and NASAA on coordinated examinations of ”free lunch seminars.”  Since then, she has pursued her passion for making improvements in the senior space through her work in EXAMS and in OIEA. Suzy coordinates the SEC’s activities for the Elder Justice Coordinating Council and has created education and outreach programs for retirement stage investors, including how to invest in later years and how to detect and prevent current financial scams and frauds.  She has been a voice for the Commission through her speaking engagements related to older investors on regulatory and industry panels countrywide.  The Commission has recognized her special contributions over the years, conferring to her its Excellence in Leadership Award, Law and Policy Award and two Chairman’s Awards for Excellence.   Before serving at the Commission, Suzy worked in the securities industry for over 20 years.  She held compliance, trading, sales, operations and management roles.  Suzy graduated from Denison University with a B.A. in Economics.  

Amanda Senn

Deputy Director of Enforcement/ General Counsel

Alabama Securities Commission

Amanda Senn is the Deputy Director of Enforcement and General Counsel for the Alabama Securities Commission where she has been employed since 2008.  She is responsible for advising the Commission on securities-related matter, for investigating and prosecuting fraudulent actions surrounding the sales of securities throughout the state of Alabama, and has coordinated and litigated numerous multi-jurisdictional administrative, civil, and criminal matters. She also serves as a legislative liaison for the Commission.  In that capacity, she advocates for investor protection and market integrity for Alabama and its residents.  Amanda is involved on both the State and local level in various organizations which address issues and promote awareness of Elder Abuse and Investment Fraud; including the Montgomery County Elder Justice Task Force and the Alabama Interagency Council for the Prevention of Elder Abuse.  She is actively involved in NASAA, where she serves as Chairman of the Cybersecurity Committee, Co-Chair of the Broker Dealer Market and Regulatory Policy Committee and is a member of project groups in the Investment Adviser and Enforcement sections.  She is a frequent speaker on Alabama’s securities laws and Elder Justice.

Joseph Snyder

Retired

National Adult Protective Services Association

Joe has run the protective service unit for older adults in Philadelphia for over 20 years. Expert in program development, innovative practice and investigations of elder abuse. Developed a fraud prevention program with a national bank that became the model for a national toolkit. Developed a standard form for adult protective services programs to request records from banks and credit unions in 2015 and repeated the process with the Securities Industry in 2018. Former President of the National Adult Protective Services Association and member of many local, state and national boards and organizations. Has spoken extensively on protective services program development and financial exploitation of the elderly in a dozen states and numerous national conferences. Has spoken and testified on elder abuse and protective service at the White House Event on Elder Abuse, the United Nations and special commitees of the United States Senate and House of Representatives.

Jennifer Spoeri

Executive Director

National Adult Protective Services Association

Jennifer became the Executive Director for the National Adult Protective Services Association (NAPSA) in August 2021.  She has 18 years of Adult Protective Services (APS) experience in Philadelphia, the last three of which she served as the Director. In Philadelphia, she managed a staff of 70 and an annual operating budget of over $5 million. Jennifer’s program in Philadelphia was awarded one of the first VOCA grants designated for APS. She served on NAPSA's Board of Directors for five years prior to becoming Executive Director.

Jennifer holds degrees from the University of Kentucky (BA in Psychology) and the Notre Dame of Maryland University (MA in Gerontology with a concentration in Healthcare Administration). 

Jeanette Wingler

Associate General Counsel

FINRA's Office of the General Counsel

Jeanette Wingler is an Associate General Counsel in FINRA’s Office of the General Counsel.  Ms. Wingler’s responsibilities involve a variety of regulatory areas, including research analyst conflicts, cybersecurity, seniors and other vulnerable investors and recruitment practices.  Prior to joining FINRA in 2014, Ms. Wingler was an associate at Dechert LLP, where she advised on regulatory and compliance matters for broker-dealers, investment advisers and investment companies.  Ms. Wingler graduated from the University of North Carolina at Chapel Hill with a bachelor’s degree in political science and history.  She has a law degree from Duke University School of Law.

James Wrona

Vice President and Associate General Counsel

FINRA

James S. Wrona is Vice President and Associate General Counsel for the Financial Industry Regulatory Authority (FINRA) in Washington, DC. In this role, he is responsible for various policy initiatives, rule changes and litigation regarding the securities industry. Mr. Wrona formerly was associated with the law firm of K&L Gates LLP, where his practice focused on complex federal litigation. He also previously served as a federal law clerk for the Honorable A. Andrew Hauk of the United States District Court for the Central District of California (Los Angeles). Mr. Wrona is a frequent speaker at securities and litigation conferences and author of numerous law review articles, including The Best of Both Worlds: A Fact-Based Analysis of the Legal Obligations of Investment Advisers and Broker-Dealers and a Framework for Enhanced Investor Protection, 68 BUS. LAW. 1 (Nov. 2012); The Securities Industry and the Internet: A Suitable Match?, 2001 COLUM. BUS. L. REV. 601 (2001).