May 19, 2015 - Putting Investors First

Putting Investors First Panel Discussion

Topic Where Does the Financial Industry Stand Today?
Managing Money In a Post 2008 Regulatory Environment
Date Tuesday, May 19, 2015
Time 5:30 pm – 7:00 pm
Cocktails and Heavy Hors D’oeuvres
Location AT&T Center
Cost No Charge
 
 
Expert Speakers Include – Complete Speaker’s Bios Below
  • Moderator – James Jones, CFA – CFA Board of Governors
  • David Woodcock – Regional Director of the Securities and Exchange Commission’s Fort Worth Regional Office and Chair of the Enforcement Division’s Financial Reporting and Audit Task Force
  • Scott H. Maestri – Associate District Director in FINRA’s Dallas Office.
  • Eric Boyce, CFA – Sr. Portfolio Manager, MacDonald Capital Management

 

PUTTING INVESTORS FIRST PANEL – May 19, 2015

The “Putting Investors First” panel program will discuss key regulatory issues pertinent today and tips for managing and thriving in this environment and current ethical mandates and responsibilities. It aims at promoting awareness of best practices in asset management including:

  • Current And Emerging Regulatory Trends
  • Discovery And Prevention Of Investor Fraud
  • Fairness And Transparency In The Financial Markets
  • Ethical Dilemmas And Gray Areas

Hosted jointly by CFA Societies Texas and CFA Society Austin. Join us for this lively panel discussion and Q&A on May 19th.

Continuing Education credits (SER) will be given for this event.

SPEAKER BIO’S

 Moderator:

 

advo-jonesJames G. Jones, CFA is the founder and managing member of Sterling Investment Advisors, LLC, a fee-based private client investment management firm. Mr. Jones was a tenured Assistant Professor of Business Administration at Southwest Baptist University. He was the 1990 recipient of the Orien B. Hendrex Distinguished Teacher Award. He previously served as chair of the Planning Committee of the CFA Institute Board of Governors, a CFA exam grader, and served on the Council of Examiners, with a term as chairman. Other service includes membership in the 2006 Practice Analysis Task Force and the 2007 Continuing Education Task Force, and the 2012 Society Partnership Working Group. Mr. Jones was awarded the C. Stewart Sheppard Award in 2008. He has a BS in economics/business administration from Southwest Baptist University and an MBA from the University of Arkansas.

 

Panelists:

 

advo-woodcockDavid Woodcock is the Regional Director of the Securities and Exchange Commission’s Fort Worth Regional Office and Chair of the Enforcement Division’s Financial Reporting and Audit Task Force. As Regional Director, he oversees the enforcement and examination activities in Texas, Oklahoma, Arkansas, and Kansas. Prior to joining the SEC, David was a partner at Vinson & Elkins LLP, specializing in securities litigation, SEC enforcement, and accounting/auditing litigation. Before beginning his legal career, David practiced public accounting for several years at Price Waterhouse LLP and Ernst & Young LLP. He earned his bachelor’s degree in accounting from Louisiana State University and a JD from the University Of Texas School Of Law. David also served as a law clerk to federal district judge Howell Cobb.

 

 

advo-maesScott H. Maestri is the Associate District Director in FINRA’s Dallas Office. He began his career with NASD in 1999 as an examiner in the New Orleans District Office. Scott was promoted to management in September of 2003 and became responsible for a team of examiners who monitored member firms through cycle and cause investigations, as well as, the Membership Application Process and Financial Surveillance. Scott was promoted to the Associate District Director position in May of 2010 where his primary responsibility is the review and approval of the District Office’s major program areas. During the course of his career, Scott has been selected for Advanced Management training and successfully obtained the Certified Regulatory and Compliance Professional TM designation (CRCP) both issued through The Wharton School at the University of Pennsylvania. In addition, Scott received a B.B.A. in Finance from The Else School of Management at Millsaps College

 

 

advo-boyceEric Boyce, CFA is the Senior Portfolio Manager and Wealth Strategist at McDonald Capital Management. Eric has worked in portfolio management and investment research since 1991. He has significant experience in investment management, particularly in equities and fixed income. Prior to joining McDonald Capital Management, he served as part of the Norwood Group, Private Banking Group at Merrill Lynch. Previously, he served as Senior Vice President and Portfolio Manager at Hester Capital Management/Luther King Capital Management, where he worked for 10 years. His experience also includes tenures with Austin-based Penn Investment Group; Dallas-based Baldwin Anthony & McIntyre Securities; and Dallas-based First Dallas Holdings, parent company for First Dallas Securities and the Hodges Mutual Fund. Eric earned his B.B.A. in finance from the University of Texas at Austin and his M.S. in finance from the University of Texas at Dallas. He holds the Chartered Financial Analyst® (CFA®) designation from the CFA Institute. He is also a graduate of the Essential Class for Leadership Austin

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