Securities Industry Institute (SII)

EMMANUEL AIDOO is Head of Blockchain & Distributed Ledger Strategy at Credit Suisse within the Global Markets Division where he leads the Emerging Technology Practice. He is an Innovation leader with over 18 years at Credit Suisse and has worked in a variety of senior roles which include Global Head of Debt Capital Markets Technology and, Global Head of Solution Delivery and Global Head of Leverage Finance Technology.

JIM AUSTIN, a former senior executive at Baxter Healthcare, combines business strategy and organizational development theory with extensive industry experience.

As a lecturer in the Aresty Institute of Executive Education at the Wharton Business School, he tailored and delivered senior-level seminars on Strategy Development, Scenario Planning, Strategic Execution, and Critical Thinking for a number of leading companies including Boston Scientific, Coca-Cola. Lincoln Financial, CITIC (China), GE and Hitachi. In 2013, Brown University appointed Jim a Senior Lecturer of Healthcare Leadership where he heads a graduate Marketing & Management seminar. Jim is a Business Management Professor at the Lake Forest Graduate School of Management where he received the “Most Distinguished Corporate Education Faculty Member” (2009-10) and the “Learning Excellence” (2012) awards. He is also an Adjunct Faculty in the Department of Health Systems Management, College of Health Sciences, Rush University, where he teaches a graduate seminar on Healthcare Ethics.

From 2005-2016, Mr. Austin worked at Decision Strategies International, leaving as a Senior Principal. There he led numerous projects including scenarios of the future for a Medical Devices firm; R&D priorities for a major consumer products company; a strategic plan for the American College of Radiology; scenarios of the future for the League of Southeastern Credit Unions; and a new vision, strategic priorities for the national and IL Boards, Volunteers of America (VOA). Jim now heads his own firm, JH Austin Associates, Inc.(www.jh-austin.com)

Prior to joining Decision Strategies, Jim worked for 12 years at Baxter Healthcare, the last four as Vice President of Strategy Development for the Renal Division. Jim identified new business opportunities, facilitated annual strategy planning processes and worked with senior management on organizational development for this rapidly growing, nearly $2B Division. Before Baxter, Jim was Assistant to the President for ANCHOR HMO, a subsidiary of Rush Medical Center, Chicago.

From 1982-86, Jim worked as a Consultant for Arthur D. Little, Inc., where he led a number of large-scale planning, business development and strategic positioning studies. Between college and graduate school, Jim spent four years as an Economist/Planning Officer in the Ministry of Finance, Botswana.

Jim holds a B.A. in Economics and Politics from Yale University. He was a Special Student at the Massachusetts Institute of Technology in the Urban Studies Department, and received a joint Masters in Public Affairs (MPA) and a Masters in Urban and Regional Planning (MURP) from the Woodrow Wilson School, Princeton University. Jim was past Chairman of the Strategic Leadership Forum, a recent Board Member of the National Kidney Foundation of Illinois, a past Member of the Board of Directors for the University Club of Chicago, Treasurer of LaSalle Language Academy and Member of the Admissions Committee for the Latin School of Chicago.

Sigal Barsade is the Joseph Frank Bernstein Professor of Management at the Wharton School of Business, University of Pennsylvania where she has been on the faculty since 2003, and prior to that was a faculty member at Yale University for 10 years. Dr. Barsade has been engaged as a speaker or consultant to numerous large corporations across myriad industries such as Cisco, Coca Cola, Coldwell Banker, Comcast, Deloitte, Del Monte, Estee Lauder, Google, Hertz, Hitachi, IBM, KPMG, Lincoln Financial, Magna PowerTrain, Merrill Lynch, the NBA, the NFL, Office Depot, Penske, State Farm Insurance, Sunoco, US Trust, and Wyndham Worldwide; health care and biopharma organizations such as GlaxoSmithKline, Novartis and Penn Medicine; public and not for profit corporations such as the OECD, World Economic Forum and the United Nations; as well as to small entrepreneurial organizations. The focus of her research expertise, speaking and consulting practice is organizational culture, emotional intelligence, organizational change, teamwork and leadership.

Dr. Barsade is an award winning researcher and teacher whose academic expertise enables her to integrate cutting edge research tools and knowledge into practical use. She has published in the top academic research journals in her field, and has served on the editorial boards of the Administrative Science Quarterly, Organizational Behavior and Human Decision Processes and Organization Science. She is also often interviewed by, and has her research referenced in the general media, such as the Wall Street Journal, New York Times, Business Week, Time Magazine, US News & World Report, International Herald Tribune, AP Wire, Forbes, LA Times, Oprah Magazine, Fast Company, Slate, NPR Radio, ABC, CBS and CNN News as well as numerous national and regional news outlets.

QUINN BAURIEDEL is a founder and Co-Artistic Director of the two-time OBIE Award-winning Pig Iron Theatre Company and has been a leading artistic voice in the company for over 20 years. Quinn has toured around the world with his productions and has taught workshops throughout the U.S. and abroad. In 2016 he was named an Eisenhower Fellow. He has also been awarded a Henry Luce Fellowship, a Pew Fellowship, a Fox Foundation Actor Fellowship (one of 6 awards given out nationally), a USA Knight Fellowship and an Independence Foundation Fellowship. Quinn regularly teaches leadership sessions for Wharton’s Aresty Institute for Executive Education and for the Wharton MBA Leadership program. He also teaches workshops for Fordham, Penn State and Johns Hopkins’ Business Schools. He has led leadership development workshops for Johnson & Johnson, Pfizer, Novo Nordisk, Credit Suisse, US Trust, Morgan Stanley, KPMG, Exelis, FINRA, Danisco and ADP, among others. He has taught theatre courses and workshops at Harvard, Princeton, Brown, Stanford, Swarthmore College, UVA, Georgetown, Yale, UPenn, Wesleyan and American University, among many others. Quinn brings fresh insights and cutting edge thinking to all of the workshops he offers.

JONAH BERGER is a Marketing Professor at the Wharton School at the University of Pennsylvania and a world-renowned expert on word of mouth, social influence, consumer behavior, and how products, ideas, and behaviors catch on. He has published dozens of articles in top‐tier academic journals, teaches Wharton’s highest rated online course, and popular accounts of his work often appear in places like The New York Times, Wall Street Journal, and Harvard Business Review. Berger is the bestselling author of multiple books including Contagious: Why Things Catch On (hundreds of thousands of copies are in print in over 30 languages) and Invisible Influence: The Hidden Forces that Shape Behavior. Berger is a popular speaker at major conferences and events and often consults for companies like Apple, Google, GE, Coca‐Cola, Vanguard, 3M, Kaiser Permanente, Unilever, and The Gates Foundation.

ANDREW BERNSTEIN teaches people an eye-opening new way to transform challenges at work and at home more effectively, with no jargon, stigma, or “touchy-feeliness.”

Since 2006, Andy has taught leaders through Wharton Executive Education, where his programs are always among the highest-rated. Outside of executive education, Andy maintains a busy schedule helping wealth management firms and the families they serve live more resilient lives. His clients include Merrill Lynch, Morgan Stanley, UBS, Raymond James, U.S. Trust, and many others.

Andy’s book, The Myth of Stress, was published by Simon & Schuster. He graduated Phi Beta Kappa from Johns Hopkins University, and lives in New York City.

For more information, visit www.resilienceacademy.com.

MATTHEW BIDWELL is an Associate Professor of Management at The Wharton School, the business school at the University of Pennsylvania. His research examines new patterns in work and employment, focusing in particular the causes and effects of more short-term, market oriented employment relationships. He has conducted detailed research on different forms of worker mobility, comparing the effects of promotion versus internal mobility for firms and workers, and the conditions under which is most likely to happen. He has also worked extensively on outsourcing and contracting, publishing papers on how contractors are used within firms, on the effects of their relationships with staffing firms, and on who goes into contracting.

Professor Bidwell holds a Ph.D. from the MIT Sloan School, an S.M. in Political Science from MIT, and an M.Chem from Oxford. He is the recipient of “Outstanding Scholar Awards” from the Academy of Management’s Human Resources Division and from the Labor and Employment Research Association. He is also a senior editor at the Journal Organization Science.

LISA BLEIER is Managing Director and Associate General Counsel, Federal Government Relations at SIFMA. In this capacity, she supervises and coordinates SIFMA’s outreach to members of Congress and government regulators on retirement and senior investor matters.

Prior to joining SIFMA, Ms. Bleier held positions as Vice President and Senior Counsel at the American Bankers Association, Government Affairs Manager for the American Society of Pension Actuaries, and legislative assistant and counsel for Congresswoman Marge Roukema.

Ms. Bleier has been published in Trust & Investment Magazine, having authored “Overhauling ERISA for Today’s Marketplace,” and “The State of Play for Today’s Directed Trustee.”

Ms. Bleier holds a J.D. from the University of Pittsburgh School of Law and a B.A. from the University of Michigan.

BOBBI BLOCK is an experiential Facilitator and Coach with a unique background in both training and the performing arts, specializing in Leadership, Collaboration, Creativity, Relationship-Building and Presentation Skills Development. In addition to her independent consulting work, Bobbi works as Independent Faculty for The Wharton School’s Executive Education Institution. She is also a Senior Affiliate with The Ariel Group, an award-winning training and development firm that uses theatrical approaches to teach Leadership Presence and authentic connection to executives around the globe. Also, Bobbi is a Facilitator and Designer for the unique leadership development program Work.Life.Leader, as well as a Human Strategy Consultant for Bracken Leadership, and a Lead Facilitator for the training firm Performance of a Lifetime. Bobbi teaches and performs Improvisational Theatre in Philadelphia and is an Adjunct Professor in the Theatre Department at Temple University, Drexel University, and The University of Otago in New Zealand.

Bobbi began her training career by teaching teambuilding and collaboration skills to corporate and nonprofit organizations utilizing improvisational theatre techniques she acquired through producing, performing and teaching with CSZ Philadelphia, home of improvisational theater company ComedySportz. Bobbi then worked for Team Builders Plus, an international Training and Development firm, where she complemented her Applied Improv techniques with a variety of experiential learning approaches, and worked extensively with communication assessment tools including DiSC.
Bobbi received two Bachelor's degrees from the University of Pennsylvania, one in English and one in Development through Creative Expression. She received a Masters degree in Theatre from Villanova University, and trained with master improvisers at renowned theater centers in Chicago and NYC.

In addition to co-founding and performing with Barrymore Award-winning ComedySportz Philadelphia for 20 years, Bobbi founded and is the Producing Artistic Director of critically-acclaimed spontaneous theater company, Tongue & Groove. She is a founding member of the popular longform improv group, LunchLady Doris, and performed with the interdisciplinary improv company Playback Philadelphia. Bobbi co-founded and performed with the body percussion troupe People Percussion Project, and plays drums in the Brazilian percussion troupe Unidos da Filadelfia.
In addition to her current appointments at Temple, Drexel and Otago, Bobbi has taught Improvisation at numerous theatres and colleges including The University of the Arts, The Wilma Theatre, University of Pennsylvania, The Wharton School, and Villanova University. She has worked extensively with Philadelphia Young Playwrights, teaching playwriting to young people and training teachers and teaching artists on the integration of theatre in the classroom.

Bobbi has worked with: ABC Television, Abington Hospital, Accenture, Achievement Network, American Express, Andersen Consulting, AstraZeneca, Bristol Myers Squibb, Campbell Soup, Capitol One, Comcast, Deloitte, Disney, Exelon/PECO, Federal Reserve Bank, Firmenich, Fox School of Business, General Electric, GlaxoSmithKline, Hospital of the University of Pennsylvania, IKEA, KPMG, Nationwide, Neiman Group, Oliver Wyman, Pew Charitable Trusts, Philadelphia Museum of Art, Philadelphia Workforce Development, Praxair, The Ranney School, Raymond James, SAP, Scratch, SEI, Sun Company, Time Warner, Tribe 12, US Trust, The Wright Center for Medical Education.

ANDY BLOCKER is the Executive Vice President, Public Policy and Advocacy at SIFMA. In this capacity, Mr. Blocker leads a team that engages with lawmakers and regulators on international, federal and state issues impacting the financial services industry.

Prior to joining SIFMA, Mr. Blocker was Managing Director, Federal Affairs Manager in the U.S. Office of Public Policy at UBS. Mr. Blocker represented UBS on a wide range of issues with a primary focus on banking, securities, and other financial services issues on Capitol Hill and in the Executive Branch. In particular, he was the lead lobbyist on financial services issues for UBS during both the legislative debate and the regulatory implementation of Dodd-Frank. In addition, Andy served as a trusted resource to inform both individual and institutional clients on political and policy actions in Washington and how they could impact their strategic investment decisions.

Prior to his role at UBS, Mr. Blocker was Vice President of Government Relations at the New York Stock Exchange (now NYSE Euronext), where he was responsible for developing and coordinating lobbying strategy regarding market structure (including Reg NMS), corporate governance, international market collaboration, and tax issues. Prior to joining the Exchange, Andy represented American Airlines in over twenty international route negotiations between the U.S. and foreign governments, and worked to secure liability relief as part of the Air Transportation Safety and System Stabilization Act post September 11th.

During his tenure in the public sector, he worked as Legislative Assistant to Congressman Martin Frost (DTX), and Senior Budget Analyst for the Senate Budget Committee. He also worked for the Clinton White House, where as Special Assistant to the President for Legislative Affairs, he provided policy-making and strategic advice to the President and contributed to the passage of the 1997 Bipartisan Balanced Budget Agreement.

Mr. Blocker holds an undergraduate degree in Economics from Harvard University and an MBA from Georgetown University’s McDonough School of Business.

STEVEN CHABINSKY has been described as “One of the Most Influential People in Security,” and is the recipient of numerous awards and recognitions, including the National Intelligence Distinguished Service Medal, and serves as a trusted authority in cybersecurity. Steve is a partner and the Chair of the Firm's Global Data, Privacy & Cybersecurity Practice. Steve advises domestic and international businesses on the wide range of data and network security compliance and risk management issues that enterprises face globally.

Clients benefit from Steve's extensive private sector and government experience focused on cybersecurity risks. His expertise includes cyber preparedness, incident response, information governance, data privacy, data breach regulatory response, government and internal investigations, reputation management, and the cybersecurity fiduciary duties of directors and officers. A distinguished and trusted authority in the technology industry, Steve has dedicated nearly his entire career to cybersecurity. He has helped shape many of the nation's significant cyber and infrastructure protection strategies, including the Homeland Security Act of 2002 and the Comprehensive National Cybersecurity Initiative (2008). His impressive track record includes leading national intelligence efforts to coordinate, monitor and provide recommendations to the President of the United States regarding implementation of America's national cyber strategy. Steve also is the cyber columnist for Security magazine.

Prior to joining White & Case, Steve served as General Counsel and Chief Risk Officer for an international cybersecurity technology firm, where he led the company's legal, privacy and risk programs and advised clients and their counsel on ways to protect their networks from being hacked and to respond effectively in the event of a data breach. Before working in the private sector, Steve served as Deputy Assistant Director of the FBI's Cyber Division, after having organized and led its Cyber Intelligence program and after having served as the FBI's top cyber lawyer. He also served as the senior cyber advisor to the United States Director of National Intelligence. Prior to his work with the FBI, Steve held a clerkship with the Honorable Dennis Jacobs in the US Second Circuit Court of Appeals.

MATTHEW CIESINSKI is a senior manager at Vanguard responsible for leading offer management, business technology and operations for Personal Advisor Services. Prior to his current assignment, Matt was a senior manager on Vanguard's Corporate Strategy team, where he led enterprise engagements focused on client loyalty, international business expansion, investment product evaluation and financial advice. Matt also spent several years as a senior leader in Vanguard’s Institutional business responsible for client, operations and technology functions. He earned a B.A. in economics from Ursinus College and an M.B.A. from Arizona State University.

PETER CONTI-BROWN is an assistant professor of legal studies and business ethics at The Wharton School of the University of Pennsylvania. A financial historian and a legal scholar, Conti-Brown studies central banking, financial regulation, and public finance, with a particular focus on the history and policies of the US Federal Reserve System.

He is author of the book The Power and Independence of the Federal Reserve (Princeton University Press 2016), the editor of two other books, and author or co-author of a dozen articles on central banking, financial regulation, and bank corporate governance. He has been widely quoted in print and online media on central banking and has testified before the US Senate Banking Committee on reforming the Federal Reserve.

Prior to his appointment at Wharton, he practiced law, clerked for judges on the U.S. Court of Appeals for the Second and DC Circuits, and held fellowships at Stanford and Harvard Law Schools. He holds degrees from Harvard College, Stanford Law School, and Princeton University’s Department of History. He is currently at work on a single-volume, comprehensive history of the US Federal Reserve (under contract with Harvard University Press).

ANNE COONEY is a Managing Director and is the General Counsel of Morgan Stanley Wealth Management (WM), the wealth management division of Morgan Stanley. Anne leads a team of approximately 65 professionals who advise the business on legal issues and regulatory requirements involving the division's broad product and services offerings. Anne previously served as head of Client Litigation for the Wealth Management business.

Anne is a member of the WM Operating Committee and serves on the Board of Trustees for the Securities Industry Institute, a securities education program conducted in partnership with the Wharton School of Business. She is a member of the SIFMA Compliance and Legal Society's Executive Committee. Prior to joining Morgan Stanley in 1999, Anne practiced as a securities litigator with a leading Florida law firm, where she specialized in representing financial institutions in court litigation, arbitrations, and regulatory proceedings before the SEC and the self-regulatory organizations. She holds a J.D. with honors from the University of Florida and a B.S. in Business Administration from the University of North Carolina, Chapel Hill.

PETER DRISCOLL was named Acting Director of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) in January 2017, after serving as OCIE’s first Chief Risk and Strategy Officer since March 2016. Mr. Driscoll was previously OCIE’s Managing Executive from 2013 through February 2016.

He joined the Agency in 2001 as a staff attorney in the Division of Enforcement in the Chicago Regional Office and was later a Branch Chief and Assistant Regional Director in OCIE’s Investment Adviser and Investment Company examination program.

Prior to the Agency, Mr. Driscoll began his career with Ernst & Young LLP and held several accounting positions in private industry. He received his B.S. in Accounting and law degree from St. Louis University. He is licensed as a certified public accountant and is a member of the Missouri Bar Association.

ANGELA DUCKWORTH is the Christopher H. Browne Distinguished Professor of Psychology at the University of Pennsylvania. She is also the founder and scientific director of the Character Lab, a nonprofit whose mission is to advance the science and practice of character development.

Angela studies grit and self-control, two attributes that are distinct from IQ and yet powerfully predict success and well-being. A 2013 MacArthur “Genius” Fellow, Angela has advised the White House, the World Bank, NBA and NFL teams, and Fortune 500 CEOs. Currently, she serves as a Faculty Director for Wharton People Analytics, an initiative that helps organizations adopt the latest insights from social science research.

Prior to her career in research, Angela founded a summer school for low-income children that was profiled as a Harvard Kennedy School case study and, in 2012, celebrated its twentieth anniversary. She has also been a McKinsey management consultant and a math and science teacher in the public schools of New York City, San Francisco, and Philadelphia. Angela completed her undergraduate degree in Advanced Studies Neurobiology at Harvard, graduating magna cum laude. With the support of a Marshall Scholarship, she completed an MSc with Distinction in Neuroscience from Oxford University. She completed her PhD in Psychology as a National Science Foundation Graduate Fellow at the University of Pennsylvania.

Angela has received numerous awards for her contributions to K-12 education, including a Beyond Z Award from the KIPP Foundation. Her first book, Grit: The Power of Passion and Perseverance, debuted May 3, 2016 as an immediate New York Times bestseller.

 Jonah Evans is the executive producer of Dear World, a media and storytelling project published in more than 30 countries. Evans launched the project alongside its founder Robert X. Fogarty at the Harvard Social Enterprise Conference in 2011.

PETER S. FADER is the Frances and Pei-Yuan Chia Professor of Marketing at the Wharton School of the University of Pennsylvania. His expertise centers around the analysis of behavioral data to understand and forecast customer shopping/purchasing activities. He works with firms from a wide range of industries, such as telecommunications, financial services, gaming/entertainment, retailing, and pharmaceuticals. Managerial applications focus on topics such as customer relationship management, lifetime value of the customer, and sales forecasting for new products. Much of his research highlights the consistent (but often surprising) behavioral patterns that exist across these industries and other seemingly different domains. These insights are reflected in his book, “Customer Centricity: Focus on the Right Customers for Strategic Advantage.”

Professor Fader believes that marketing should not be viewed as a “soft” discipline, and he frequently works with different companies and industry associations to improve managerial perspectives in this regard. His work has been published in (and he serves on the editorial boards of) a number of leading journals in marketing, statistics, and the management sciences. He has won many awards for his teaching and research accomplishments.

In addition to his various roles and responsibilities at Wharton, Professor Fader is also co-founder of Zodiac (http://www.zodiacmetrics.com/), a SaaS-based company that aims to make top-notch customer valuation models and insights easily accessible to a broad array of data-driven organizations.

EMILIE R. FELDMAN is an Associate Professor of Management (with tenure) at the Wharton School of the University of Pennsylvania. She graduated magna cum laude from Harvard College, where she studied Economics and French Literature, and she received her MBA and DBA in Strategy from Harvard Business School.

Professor Feldman’s work focuses on corporate strategy and governance, with particular interests in the internal functioning of diversified firms and the role divestitures and spinoffs play in corporate reconfiguration. Her research has been published in top academic journals, such as the Strategic Management Journal, Organization Science, and the Academy of Management Journal, and has received numerous scholarly awards, including Distinguished Paper and Outstanding Dissertation Awards from the Academy of Management.

Professor Feldman teaches elective courses on mergers and acquisitions in both the undergraduate and MBA programs at Wharton.

According to CNBC, Andy Friedman is “one of the nation’s most sought-after speakers on all things political.”  An expert on political affairs, Andy explains the ever changing, sometimes confusing, and often crazy world of Washington in a straightforward bipartisan manner.  He is known for predicting the outcomes of Washington deliberations and providing financial advisors and investors with strategies to consider in light of the changing political landscape.

 

Andy was a senior partner with the law firm of Covington & Burling in Washington, D.C., where he practiced for almost thirty years, serving as head of the tax and corporate groups.  He received his bachelor degree as valedictorian from Trinity College in Hartford, Connecticut, and his law degree from the Harvard Law School.

Andy also served as tax counsel to Major League Baseball, the National Football League, the National Basketball Association, and the National Hockey League.

 

Andy appears on CNBC, which refers to him as “Wall Street’s Tax Expert” and calls him “one of Washington’s savviest political observers.”  Andy also has appeared on the Larry Kudlow Show, the Fox Business Channel, and POTUS radio, has been profiled in the Washington Post and Research Magazine, and is quoted extensively in publications ranging from the Wall Street Journal to USA Today.

 

Andy is included in Best Lawyers in America and Chambers' America's Leading Lawyers for Business, which notes that “Andy’s ability to combine vast knowledge and a practical mindset permits him to convey the most complex of tax concepts in layman’s terms.  He is the expert’s expert.  If every lawyer were like him, the world would be a much better place.”

STEWART FRIEDMAN has been on the Wharton faculty since 1984. He was appointed the first Practice Professor of Management for his work on applying research to challenges facing organizations. As founding director of The Wharton Leadership Program, in 1991 he launched the required MBA and Undergraduate leadership courses. He is also founding director of the Work/Life Integration Project.

An award-winning teacher, he appears regularly in business media (The New York Times cited the “rock star adoration” he inspires in his students). He has been recognized twice as one of HR's Most Influential International Thinkers and as one of the "world's top 50 business thinkers" thrice by Thinkers50. In 2015 he won Thinkers50's Distinguished Achievement Award in the talent management field. He's published 50+ articles for HBR.org, including one listed first among Harvard Business Review's Ideas that Shaped Management in 2013. He was chosen by Working Mother as one of America’s 25 most influential men to have made things better for working parents, and was recently honored by the Families and Work Institute with the Work Life Legacy Award.

Stew’s most recent book is Leading the Life You Want: Skills for Integrating Work and Life (Harvard Business, 2014), a Wall Street Journal best-seller. It builds on his award-winning best-seller, Total Leadership: Be a Better Leader, Have a Richer Life (Harvard Business, 2008), now in many languages. The program it describes is his challenging Wharton course, in which participants complete an intensive series of exercises designed to increase their leadership capacity and performance in all parts of their lives by better integrating them, while working in peer-to-peer coaching relationships and completing much of the activity online in a cutting-edge social learning environment. Total Leadership is used by individuals and companies worldwide, including as a primary intervention in a multi-year study funded by the National Institutes of Health on improving the careers and lives of women in medicine and by 135,000+ students enrolled in Stew’s highly-rated Coursera MOOC.

In 2001, Stew concluded a two-year assignment as a senior executive at Ford Motor, where he was director of the Leadership Development Center (LDC), running a 50-person, $25 MM operation. In partnership with the CEO, he launched a portfolio of initiatives designed to transform Ford's culture; 2500+ managers per year participated. Near the end of his tenure at Ford, an independent research group (ICEDR) said the LDC was a "global benchmark" for leadership development programs.

Stew worked for five years in the mental health field before earning his PhD in organizational psychology from the University of Michigan. He has published on work/life, leadership, and the dynamics of change, including the widely-cited Harvard Business Review articles “Work and life: the end of the zero-sum game” (1998); “Be a better leader, have a richer life” (2008); and "Work + Home + Community + Self (2014); and “The Happy Workaholic: a role model for employees” (in Academy of Management Executive, 2003). In 2013 Wharton Digital Press published his landmark study of two generations of Wharton students, Baby Bust: New Choices for Men and Women in Work and Family. Work and Family – Allies or Enemies? (Oxford, 2000) was recognized by the Wall Street Journal as one of the field's best books. In Integrating Work and Life: The Wharton Resource Guide (Jossey-Bass, 1998) Stew edited the first collection of tools for building leadership skills for integrating work and life.

Stew serves on a number of boards and has advised many companies and public sector organizations, including the U.S. Department of Labor, the United Nations, and two White House administrations. He gives keynote addresses and conducts workshops globally on leadership, work/life, social capital, and human capital. (Here is the master class he gave for Wharton's Lifelong Learning Tour.)

Follow his posts on LinkedIn and Twitter @StewFriedman and tune in to Work and Life, his show on SiriusXM 111, Business Radio Powered by Wharton, Tuesdays at 7:00 p.m. (ET).

CHRIS GECZY has been on the Finance Department faculty at the Wharton School of the University of Pennsylvania since 1997. He is Academic Director of the Jacobs Levy Equity Management Center for Quantitative Financial Research. He is also Academic Director of the Wharton Wealth Management Initiative at Wharton Executive Education. He has a B.A. in economics from the University of Pennsylvania and a Ph.D. in finance and econometrics from the Graduate School of Business at the University of Chicago (now the Booth School).

Before his studies at Chicago, Chris worked for the Board of Governors of the Federal Reserve System, Washington, DC in its Division of Research and Statistics. He regularly teaches investment management and co-created the first full course on hedge funds at The Wharton School, a course on Impact Investing, and a large number of executive education courses. He has taught AIMR/CFA Institute-accredited professional Risk Management courses through the University of Chicago's Graduate School of Business.

The Jacobs Levy Center is an interdisciplinary research hub at Wharton focusing on innovative knowledge creation in quantitative finance. It supports faculty research projects and dissertation fellowships, and it awards the Wharton-Jacobs Levy Prize for Quantitative Financial Innovation. Chris became Academic Director in March 2014.

Chris has been the Academic Director of a number of Wharton Executive Education programs including the 2009 Securities Industry Institute in partnership with SIFMA, the Private Wealth Management program in partnership with The CFA Institute, and programs focused on advanced strategies, endowments and foundations, alternatives and hedge funds in partnership with the Investment Management Consultants Association (IMCA). In addition, he has taught Investment Management in the Penn-Securities Association of China (Penn-SAC) program for a number of years. He received the Best Elective Course Teaching Award in the Wharton Executive MBA Program.

He currently serves on Intel’s US Retirement Plans’ Investment Policy Committee. He has served on the Economic Advisory Board of NASDAQ, has been an editor of the Journal of Alternative Investments and is on the Editorial Advisory Board of the Journal of Wealth Management. Chris is also a founding board member and past Chairman of the MidAtlantic Hedge Fund Association and served on the curriculum and exam committee of the Chartered Alternative Investment Analyst Association (CAIA). He serves on the Impact Investing Advisory Council of the Wharton Social Impact Initiative.

Chris’s current research focuses on various topics including multifactor models, wealth management, risk management, asset allocation, the performance of managed funds including hedge funds, venture capital and private equity as well as other alternatives, ESG incorporation in funds and portfolios, and various aspects of equity lending and shortselling. His work has appeared in numerous books and scholarly journals including the Journal of Finance, Journal of Financial Economics, Journal of Portfolio Management, The Society for Industrial and Organizational Psychology and the Journal of Political Economy.

He currently consults with and advises a number of private and institutional investors including pension plans, insurance companies and ultra-high net worth families and others in the area of portfolio construction, management and evaluation, asset allocation, investment selection, alternative investments including private equity, infrastructure, hedge funds, risk management, and subprime exposures in both the 1940 Act space as well as the private fund area.

Chris also serves as a Trustee and member of the Investment Committee of The Episcopal Academy, is on the Board of Directors of the Alexander Hamilton Friends Foundation, and is a founder of Forefront Analytics and GKFO.

TRACY L. GERBER is Co-Managing Shareholder of the West Palm Beach office of international law firm Greenberg Traurig, where she is a member of the National Securities Litigation practice group and the National Labor and Employment practice group. Ms. Gerber regularly represents major broker-dealers as lead counsel in arbitrations before the Financial Industry Regulatory Authority ("FINRA"). She also handles regulatory proceedings and cases in state and federal courts. She has handled hundreds of sales practice and employment arbitrations involving millions of dollars in controversy as lead counsel in the defense of financial services firms.

In 2010, Ms. Gerber defended one of the largest employment arbitrations ever filed before FINRA. The former employee plaintiffs were seeking $232 million in connection with their management of multibillion-dollar escrow accounts. The FINRA arbitration panel dismissed the claims outright and the award was confirmed by the U.S. District Court for the Southern District of Florida. Ms. Gerber also developed the firm's national arbitrator database. She has broad experience in arbitrator selection strategy and causal challenges of arbitrators, having consulted in the selection strategy for more than 1,000 arbitration panels.

Ms. Gerber serves as an industry arbitrator for FINRA and is a frequent speaker on the subject of securities arbitration. She is the author of "FINRA Arbitration In the Modern Era: A Defense Practitioner's Perspective," The Review of Securities & Commodities Regulation (Vol. 44, No. 14), August 2011. Ms. Gerber was selected for inclusion in The Best Lawyers in America 2014-2016 in the field of Securities Litigation, has been recognized by Super Lawyers magazine as a Florida Super Lawyer in both the Securities Litigation and Employment Litigation fields, and has received Martindale-Hubbell's AV Preeminent Peer Review Rating for the last 10 consecutive years.

RICHARD L. GODFREY is a founding partner and Vice-Chairman of 3Gaps, Inc., a U.S. based executive consulting and training practice. With more than 30 years of experience in corporate culture consulting, Richard has worked as an executive coach and consultant to Fortune 100 leaders and their teams.

He has written/co-written 7 best-selling books on a number of aspects of culture and its effect on productivity. Richard consults with leaders in domestic and international business, government, military and education. He holds degrees in behavioral, cognitive and general psychology with an emphasis on how cultural engagement affects performance. He has lived and practiced in Europe, Canada and currently resides in Salt Lake City, Utah with his wife Heather.

THOMAS GOOLEY is the Managing Director of Service, Trading, and Operations at LPL Financial. In this role, he is responsible for leading the service, trading, and client-facing operations organizations, while mitigating risk, increasing efficiency, and improving the client experience at LPL. He also is responsible for driving the strategy, governance, and execution of the firm’s business process outsourcing activities in India. Tom has over 20 years of experience in brokerage and banking operations with expertise in managing large, complex organizations through transformational change. Prior to LPL, Tom was Senior Managing Director and Chief Risk Officer for Retirement & Individual Financial Services at TIAA CREF where he drove the risk management strategy and framework for the organization. Prior to TIAA CREF, Tom was Managing Director and Global Head of Operations for the Wealth and Investment Management Groups at Morgan Stanley, where he defined and implemented the vision and strategy for the groups from a people, infrastructure, controls, product and stakeholder perspective and revitalized the control program, providing transparency on risk within the organization. Additionally, Tom co-led the integration of Smith Barney and Private Wealth Management positions and accounts onto the Morgan Stanley retail platform – the largest conversion of its kind in the industry today.

Prior to Morgan Stanley, Tom held management positions in operations at Bank of America Securities and Goldman Sachs as well as serving on the SIFMA Ops and Tech Steering Committee, the DTCC Ops Advisory Council and is currently an advisor to the SIFMA Securities Operations Section. Tom has a B.A. from the University of California, Berkeley, and an M.B.A. from The Wharton School, University of Pennsylvania.

ROBERT N. GORDON is the president of Twenty-First Securities Corporation, which he founded in 1983. Since 1991, Mr. Gordon has served as an adjunct professor at New York University’s Graduate School of Business, teaching one course on “Arbitrage” theories and another titled "Taxes and Investing". He has been involved with the Wharton School’s Securities Industry Institute since 1979, starting as a student, becoming a lecturer in 1983, and serving as chairman in 1994 and 1995. Mr. Gordon has had many roles at the Securities Industry Association, having served as an SIA director, as treasurer, as chairman of the Tax Policy Committee and chairman of the New York District. He is on the Board of the John Carter Brown Library at Brown University, on the Board of and Chair of the Collections Committee of the Adler Planetarium in Chicago.

Mr. Gordon is the author (with Jan Rosen) of Wall Street Secrets for Tax Efficient Investing and author or coauthor of chapters in Tax Planning for the Affluent, Market Shock and Harold Evensky’s The Investment Think Tank. He has published many articles on tax, arbitrage and hedging strategies. He serves on the editorial advisory boards of Derivatives Report, The Journal of Taxation and Investments and The Journal of Wealth Management. Mr. Gordon is routinely quoted in the popular press on investing topics and is a frequent lecturer for organizations such as the CFA Society and IMCA.

Before founding Twenty-First Securities, Mr. Gordon was a partner at Oppenheimer & Company. Prior to that, he worked at Laidlaw, Adams & Peck, where he became a regional manager and senior vice president. He has been in the brokerage business since 1976.


http://www.twenty-first.com/bios_gordon.htm

ANNE M. GREENHALGH is an award-winning teacher who is chiefly responsible for the design and delivery of the Wharton School’s foundation leadership course for undergraduates, Management 100: Leadership and Communication in Groups. She was voted the Best Lecturer in the Social Sciences by the entire student body at the University of Pennsylvania in 2005. She has also won the William G. Whitney Teaching Award for Associated Faculty on multiple occasions.

In addition to fulfilling her administrative and teaching responsibilities, Anne has served as an advisor and consultant to a number of academic institutions and corporations, including Haverford and Bryn Mawr Colleges, Merrill Lynch, Marsh USA Inc., and the Global Business Travel Association (GBTA). As a Visiting Professor at City University, London, she was a member of the Vice Chancellor’s senior management team and laid the foundation for the University’s learning and teaching strategy. Anne’s research projects reflect her dedication to leadership and management education. She is also co-host of Leadership in Action on SXM Radio, Channel 111, “powered by The Wharton School.”

MAURO F. GUILLÉN is the Director of the Joseph H. Lauder Institute at Penn, a research-and-teaching program on management and international studies. He holds the Dr. Felix Zandman Endowed Professorship in International Management at the Wharton School of the University of Pennsylvania.

He is a member of the advisory board of the Escuela de Finanzas Aplicadas (Grupo Analistas), and serves on the World Economic Forum’s Global Agenda Council on Emerging Multinationals. He has received a Wharton MBA Core Teaching Award, a Wharton Graduate Association Teaching Award, a Wharton Teaching Commitment and Curricular Innovation Award, the Gulf Publishing Company Best Paper Award of the Academy of Management, the W. Richard Scott Best Paper Award of the American Sociological Association, the Gustavus Myers Center Award for Outstanding Book on Human Rights, and the President’s Book Award of the Social Science History Association. He is an Elected Fellow of the Macro Organizational Behavior Society and of the Sociological Research Association, a former Guggenheim and Fulbright Fellow and a Member in the Institute for Advanced Study in Princeton. In 2005 he won the IV Fundación Banco Herrero Prize, awarded annually to the best Spanish social scientist under the age of 40. His current research deals with the internationalization of the firm, and with the impact of globalization on patterns of organization and on the diffusion of innovations. His most recent books are Global Turning Points (2012) and Emerging Markets Rule (2012). He is also the author or co-author of The New Multinationals (2010), Green Products (2011), Building a Global Bank: The Transformation of Banco Santander (2008), The Rise of Spanish Multinationals (2005), The Taylorized Beauty of the Mechanical (2006), The Limits of Convergence: Globalization and Organizational Change in Argentina, South Korea, and Spain (2001), Models of Management (1994), and The AIDS Disaster (1990).
He was a member of the University of Oviedo team that won the Spain National Basketball University Championship in 1987.

His personal website is at: http://www-management.wharton.upenn.edu/guillen/

TODD HENSHAW currently serves as Director of Executive Leadership Programs at the Wharton School, University of Pennsylvania. His prior assignments included service as Professor at Columbia University, and Academy Professor and Director of Leadership Programs at the United States Military Academy at West Point. A key architect of West Point’s Leader Development System, Todd also served as the inaugural Director of the Eisenhower Leader Development Program, a graduate partnership with Columbia University that prepares Army captains to develop future officers.

Dr. Henshaw teaches leadership and leader development at The Wharton School and around the world to executives and MBA students, and consults with organizations desiring improvement in leadership at all levels. Over the past several years, he has worked to enhance leadership capacity in the following global organizations: General Electric, Alcatel-Lucent, KPMG, Glaxo Smith Kline, Ericsson, Panasonic, Coca-Cola, Andritz, Bao Steel, Kuwait Ministry of Finance, Huawei, IBM, National Military Academy of Afghanistan, World Economic Forum, Columbia University, MIT, Dartmouth, Evonik, Penske, Samsung, Hitachi, Citigroup, Boston Consulting Group, McKinsey, ADP, Boston Scientific, BM&F BOVESPA, and National Institute of Development Administration (Thailand).

Dr. Henshaw has extensive experience developing leaders for financial service organizations including banks and insurance companies around the world. Recent banking clients include: Morgan Stanley, Bank of America, Citi, Bank of China, Sumitomo (Japan), Westpac (Australia), Chinatrust, (Taiwan), CITIC, and Minsheng (China). Insurance clients include: Tokio Marine Group, Axis, Chubb, RCM & D, Council of Insurance Agents and Brokers, Woodruff-Sawyer, Cottinham & Butler, Philadelphia Insurance, Insurance CFOs Group, and Regions Insurance.

Todd earned his MBA from The University of Texas at Austin in 1995, concentrating in Executive Leadership and Strategy, and a Ph.D. in Business at the University of Kansas in 2003, examining leadership development and organizational culture.

JESSE HILL joined Edward Jones in 1996 and is currently a Principal in the firm's Legal Department responsible for government and regulatory relations. In this capacity, he is responsible for the development and implementation of the firm's public policy initiatives and interactions with key regulatory and elected officials. In addition to his role at Edward Jones, Jesse is a member of the Securities Industry Financial Markets Association's Government Representatives Committee, Financial Services Roundtable Lawyer's Council and the FINRA Membership Committee. In St. Louis, Jesse serves on the board of the Missouri Chamber of Commerce as well as the Public Policy Committee for the St. Louis Regional Chamber. Jesse graduated from the University of Illinois in 1993 and obtained his J.D. from the University of Missouri in 1996.

KARTIK HOSANAGAR is a Professor of Technology and Digital Business at The Wharton School of the University of Pennsylvania. Kartik's research work focuses on the digital economy, in particular Internet media, Internet marketing and e-commerce.

Kartik has been recognized as one of the world's top 40 business professors under 40. He is a six-time recipient of MBA or Undergraduate teaching excellence awards at the Wharton School. His research has received several best paper awards at conferences. Kartik is a cofounder of Yodle Inc, a venture-backed firm that has been listed among the top 50 fastest growing private firms in the US. He has served on the advisory boards of Milo (acq. by eBay) and Monetate and is involved with other startups as either an investor or board member. His past consulting and executive education clients include Google, Nokia, American Express, Citi and others. Kartik is a co-host of the SiriusXM show The Digital Hour which airs on Mondays at 5 pm ET on SiriusXM Channel 111.

Kartik graduated at the top of his class with a Bachelors degree in Electronics Engineering and a Masters in Information Systems from Birla Institute of Technology and Sciences (BITS, Pilani), India, and he has an MPhil in Management Science and a PhD in Management Science and Information Systems from Carnegie Mellon University.

MARTIN IHRIG is a clinical professor and associate dean at New York University, an adjunct associate professor at the Wharton School of the University of Pennsylvania, and the president of I-Space Institute. He has held appointments as a practice associate professor at the University of Pennsylvania's Graduate School of Education and as a visiting professor at Lappeenranta University of Technology in Finland. He received his Master of Business Studies from University College Dublin and his Doctorate in Business Administration from Technische Universität Berlin.

Dr. Ihrig runs the Division of Business Programs at NYU’s School of Professional Studies. He is also a faculty member at the Aresty Institute of Executive Education at the Wharton School, where he teaches strategy, entrepreneurship, and innovation in their open enrollment and customized programs. As a faculty member at the University of Pennsylvania’s Graduate School of Education (Penn GSE), Dr. Ihrig has taught in the Penn Chief Learning Officer Program and the Mid-Career Doctoral Program in Educational Leadership. At Penn GSE, he also served as the founding academic director of the nation’s first executive master in education entrepreneurship program.

Dr. Ihrig consults on the strategic and entrepreneurial management of knowledge (SEM-K) and is the co-founder and former research director of the SEM-K initiative at Wharton's Snider Entrepreneurial Research Center. In developing strategy tools for corporate and public sector decision makers, he has worked with organizations such as BAE Systems (USA), The Boeing Company (USA), Vale (Brazil), Merck (USA), and the Philadelphia Orchestra (USA). His research projects have been funded by the Economic & Social Research Council (UK), the ATLAS Collaboration at CERN (Switzerland), Tekes (Finland), the Bill & Melinda Gates Foundation (USA), and the Neubauer Family Foundation (USA).

For more information on Dr. Ihrig’s most recent thinking on knowledge strategy and innovation, please read his latest Harvard Business Review article (with Ian MacMillan) that was nominated for the HBR McKinsey Award in 2016 (https://hbr.org/2015/01/managing-your-mission-critical-knowledge) and watch him talk with Knowledge@Wharton (http://knowledge.wharton.upenn.edu/article/why-firms-need-to-think-strategically-about-knowledge-management/).

CHRISTOPHER ITTNER is the E Y Professor of Accounting and Chair of the Accounting Department at The Wharton School of the University of Pennsylvania. He received his doctorate in management control systems from Harvard University. Dr. Ittner’s research and consulting interests include performance measurement, enterprise risk management, and cost management practices. He is a founding board member of the Performance Measurement Association, is an editor of The Accounting Review, serves on the editorial boards of several other academic journals, and is co-author of the books Cost Accounting: A Managerial Emphasis and Linking Quality to Profits: Quality-Based Cost Management . Dr. Ittner’s research on the association between customer satisfaction measures and financial performance received the American Accounting Association’s Notable Contribution to Management Accounting Literature Award. His work with AON on the development of the Risk Maturity Index has collected several internatio nal awards for business innovation. Prior to receiving his doctorate, Dr. Ittner was a manufacturing consultant with Deloitte, Haskins & Sells

DR. JEFFREY F. JAFFE, Associate Professor of Finance, received his Ph.D. in Finance from the University of Chicago's Graduate School of Business in 1973. Since that time, he has been on the Wharton faculty. His research interests include corporate finance, investments, money management, and the effects of information on the behavior of security prices. He won the Wharton Evening School's Outstanding Professor Award 1989-1990.

Jeff has been a frequent contributor to finance and economic literature in journals including The Quarterly Economic Journal, The Journal of Finance, The Journal of Financial and Quantitative Analysis, The Journal of Financial Economics, The Journal of Corporate Finance, and The Financial Analysts' Journal. His best-known work concerns insider trading, where he has shown both that corporate insiders earn abnormal profits from their trades and that regulation has little effect on these profits. He also has researched initial public offerings, regulation of utilities, the behavior of markets, the fluctuation of gold prices, the theoretical effect of inflation on the interest rate, the empirical effect of inflation on capital asset prices, the relationship between small capitalization stocks and the January effect, persistence in merger performance, and the capital structure decision.

Jeff is the Faculty Director of several Wharton Executive Education programs including the Investment Strategy and Portfolio Management Program and the Certified Investment Management Analysts (CIMA) Program.

TOM KIMBERLY is the General Manager of Betterment’s retail and advisor businesses and a member of the company’s management team. He is responsible for setting and delivering strategic priorities for both businesses, with the support of Betterment’s team of 200.

Prior to Betterment, Tom was co-founder and CEO of Upside, a robo-advisor for investment advisors that was acquired by Envestnet (NYSE:ENV) in February 2015. Before Upside, Tom was VP of Strategy and M&A at Barclays and a management consultant at McKinsey & Company.

Tom has FINRA Series 7, 24 and 66 registrations. He holds an MA and MBA from Yale University and a BA magna cum laude from the University of Pennsylvania, where he was both a University Scholar and Benjamin Franklin Scholar.

DANIEL R. KLEINMAN advises businesses on the fiduciary responsibilities provisions (Title I) of the Employee Retirement Income Security Act (ERISA). He also counsels these clients on related tax, corporate, and securities laws in connection with the structuring and marketing of investment products (including private equity and hedge funds) and financial services to employee benefits plans. Additionally, Daniel handles issues related to the regulation of broker-dealers and investment advisers under US federal and state securities laws.

KAIHAN KRIPPENDORFF is the founder of Outthinker (www.outthinker.com), a growth strategy consulting firm. He is a former McKinsey consultant and author of four business strategy books, most recently Outthink the Competition.

Kaihan specializes in serving financial service, technology, and retail firms who recognize they have a linear organization in a world that increasingly demands an agile strategy. His clients include AIG, BNY Mellon, Citibank, Pershing, TIAA, Realogy, Microsoft, VM Ware, and Johnson & Johnson,

Nobel Peace Prize winner Mohammad Yunus has said, "Kaihan shows that with a compelling idea anyone can change the world" and that message has made Kaihan one of the most sought-after public speakers on the topics of business, strategy, and innovation.

He earned his BS in Finance from Wharton Business School, BS in Mechanical Engineering from the University of Pennsylvania, MBA from Columbia Business School, and Doctorate of Science in Economics from Abo Akademie.

ROB KRON has been in the financial services industry for 25 years and has extensive expertise and experience in all aspects of financial planning and retirement benefits. Currently, Rob is the head of Advisor and Client Education for BlackRock and is responsible for the development and delivery of practice management, wealth management and market insight programs.

Prior to joining BlackRock, Rob spent 17 years at Merrill Lynch. He was most recently the Director of Equity Awards supporting large public company stock option, restricted and performance share plans as well as services designed to help senior corporate executives manage their benefits. His experience at Merrill Lynch also included managing the Individual Retirement Account platform, developing and supporting innovative, industry-changing investment advice and web-based initiatives to assist plan participants in planning and investing for their retirement. Rob also played a key role in the development of a comprehensive suite of financial planning tools. Rob graduated magna cum laude from the University of Colorado.

LARRY LEIBOWITZ is a finance and technology entrepreneur who specializes in capital markets, as well as business transformation. He is currently Interim CEO of Incapture Technologies, a startup enterprise software company, but has spent 30 years deeply involved in market structure issues from all vantage points.

Larry was previously Chief Operating Officer of NYSE Euronext, where he was responsible NYSE Euronext’s stock exchanges around the world, including NYSE, Paris, Amsterdam, Lisbon, and Brussels stock exchanges, and a Member of the NYSE Euronext Board of Directors. During his tenure, he oversaw the transformation of the group’s technology platform.

Prior to joining NYSE Euronext in 2007, Larry was COO of UBS Americas Equities, responsible for several areas including Market Structure, Strategic Planning, Business Analysis, Regulatory Control, and the Broker Services. Previously, he was Co-Head of Schwab Capital Markets, following the acquisition of Bunker Capital, a quantitative hedge fund he co-founded in 1996.

Larry also served as CEO of REDIBook ECN, an electronic exchange start-up, and was on the Board of Directors at Philadelphia Stock Exchange, the National Stock Exchange of India, and BIDS Holdings.

Mr. Leibowitz has been a featured speaker at numerous industry forums related to market structure, innovation and change, and technology, and has made numerous media appearances as an expert in these areas.

Mr. Leibowitz graduated from Princeton University with a degree in Economics.

PETER MATHESON has served as Managing Director of International Policy at SIFMA for the last 2.5 years. He leads SIFMA’s efforts to promote trade and investment opportunities for the financial services sector as well as helping ensure international voices and policy experiences are brought to positively influence US policymaking.

Prior to joining SIFMA, Peter was Financial and Economic Counsellor at the British Embassy in Washington D.C. seconded from Her Majesty’s Treasury in London. He spent over five years in that position, interacting with a number of US policymakers and helping the UK understand, anticipate and influence US developments.

Peter spent 12 years at HM Treasury before arriving in the United States, working in a variety of roles. He was head of the Treasury’s Economic Strategy team through the 2008 collapse of Lehman Brothers and ensuing financial crisis, coordinating the Treasury’s response across different policy teams. He also previously headed up HM Treasury’s Trade and Competitiveness and Economic Forecast Presentation Divisions.

Peter was born in Inverness, Scotland in the United Kingdom. He lives in Washington D.C. with his American wife, Peep. He graduated from Strathclyde University with 1st Class BA (hons) in Economics.

DR. OLIVIA S. MITCHELL is the International Foundation of Employee Benefit Plans Professor, as well as Professor of Insurance/Risk Management and Business Economics/Policy; Executive Director of the Pension Research Council; and Director of the Boettner Center on Pensions and Retirement Research; all at the Wharton School of the University of Pennsylvania which she joined in 1993. Concurrently Dr. Mitchell serves as a Research Associate at the NBER; Independent Director on the Wells Fargo Fund Boards; Co-Investigator for the Health and Retirement Study at the University of Michigan; Member of the Executive Board for the Michigan Retirement Research Center; and Senior Scholar at the Singapore Management University. She also advises the Centre for Pensions and Superannuation UNSW and is Faculty Affiliate of the Wharton Public Policy Initiative. She received the MA and PhD degrees in Economics from the University of Wisconsin-Madison, and the BA in Economics from Harvard University. She is currently a Senior Editor of the Journal of Pension Economics and Finance.

Professor Mitchell's professional interests focus on public and private pensions, insurance and risk management, financial literacy, and public finance. Her research explores how systematic longevity risk and financial crises can shape household portfolios and work patterns over the life cycle, the economics and finance of defined contribution pensions, financial literacy and wealth accumulation, and claiming behavior for Social Security benefits. Her research has been appeared in leading academic journal including the American Economic Review, the Journal of Political Economy, the Journal of Public Economics, and the Review of Finance, and it has been featured in outlets such as The Economist, the New York Times, and the Wall Street Journal. She also blogs on Forbes. She has published over 220 books and articles.

Dr. Mitchell received the Fidelity Pyramid Prize for research improving lifelong financial well-being; the Carolyn Shaw Bell Award of the Committee on the Status of Women in the Economics Profession; and the Roger F. Murray First Prize from the Institute for Quantitative Research in Finance. She was also honored with the Premio Internazionale Dell'Istituto Nazionale Delle Assicurazioni from the Accademia Nazionale dei Lincei in Rome. Her study of Social Security reform won the Paul Samuelson Award for “Outstanding Writing on Lifelong Financial Security” from TIAA-CREF. In 2011, Investment Advisor Magazine named her one of the “25 Most Influential People” and “50 Top Women in Wealth;” in 2010 she received the Retirement Income Industry Association’s Award for Achievement in Applied Retirement Research; and in 2010 Wealth Management Magazine named her one of the “50 Top Women in Wealth.” In 2015, she was named a “Top 10 Women Economist” by the World Economic Forum.

Previously Professor Mitchell chaired Wharton’s Department of Insurance and Risk Management, and she also taught for 16 years at Cornell University. She served as a Commissioner on the President’s Commission to Strengthen Social Security; a Member of the US Department of Labor’s ERISA Advisory Council; and on the Board of Directors of Alexander and Alexander Services, Inc., the Board of the American Economic Association, the Advisory Board for the Central Provident Fund of Singapore, the National Academy of Social Insurance Board, the Board of the Committee on the Status of Women in the Economics Profession, and the GAO Advisory Board. She also co-chaired the Technical Panel on Trends in Retirement Income and Saving for the Social Security Advisory Council.

Professor Mitchell has visited and taught at numerous institutions including Harvard University, the NBER, Cornell University, the Goethe University of Frankfurt, the Singapore Management University, and the University of New South Wales. Professor Mitchell has consulted with many public and private groups including the World Economic Forum, the International Monetary Fund, the Investment Company Institute, the President’s Economic Forum, the World Bank, the International Foundation of Employee Benefit Plans, the White House Conference on Social Security, the Q Group, and the Association of Flight Attendants. She has also been invited to testify for numerous committees of the US Congress, the UK Parliament, the Australian Parliament, the US Department of Labor, and the Brazilian Senate. She speaks Spanish and Portuguese, having lived and worked in Latin America, Europe, and Australasia.

ETHAN MOLLICK is the Edward B. and Shirley R. Shils Assistant Professor of Management at Wharton, where he studies innovation and entrepreneurship. His research focuses on the role of individuals in the success of start-ups and innovative projects; the way in which communities of users come together to innovate; and the factors that drive the performance of entrepreneurial companies.

Ethan’s work on innovative and entrepreneurial firms has been featured in the Economist, CNBC, and Fortune. He has worked with DARPA, the advanced research arm of the Department of Defense to improve their innovation process, as well as with organizations ranging from General Mills to Eli Lily.

Ethan is also an expert on the role of games in business. His book on the subject with David Edery, Changing the Game, was named one of the American Library Association's top ten business books of 2009. He has helped design games to teach entrepreneurship, financial literacy, and teamwork.

Ethan received his PhD and MBA from MIT's Sloan School of Management and his bachelor's degree from Harvard, magna cum laude. Prior to his academic work, he was a cofounder of a successful startup company, as well as a management consultant. He won Wharton’s Teaching Commitment and Curricular Innovation Award in 2011.

DR. MARIO MOUSSA is a noted author, keynote speaker, and Fellow in the Executive Programs at the Wharton School of Business. He advises senior leaders about top team effectiveness, organizational culture, and large-scale change initiatives. He has delivered workshops on leadership, strategic persuasion and collaboration to thousands of executives in New York, San Francisco, Shanghai, Mumbai, Sao Paulo, London, Istanbul, and other major cities around the world. His work has been featured on National Public Radio as well as Time Magazine, Business Week, U.S. News and World Report, HR Magazine, The Harvard Management Update, The Financial Times, The Philadelphia Inquirer and leading industry publications.

Dr. Moussa is Co-Director of the Wharton Strategic Persuasion Workshop. He has also led the design of customized leadership development programs for organizations in a wide variety of sectors, including financial services, pharmaceuticals, energy, healthcare, higher education, and government. By connecting the classroom and the boardroom, he closes the gap between cutting-edge research and professional experience. His work is based on simple, repeatable techniques that deliver results in today’s turbulent business climate.

In his latest book Committed Teams: Three Steps to Inspiring Passion and Performance, he and co-authors Madeline Boyer and Derek Newberry use vivid stories and extensive first-hand research from Wharton’s Executive Development Program (EDP) to describe a process for building great teams. Dr. Moussa’s first book The Art of Woo: Using Strategic Persuasion to Sell Your Ideas, co-written with G. Richard Shell, has been critically acclaimed for its clear and effective methodology.

Dr. Moussa lives in Center City, Philadelphia with his wife and their three children.

SCOTT MULLINS is Head of Worldwide Financial Services Business Development at Amazon Web Services (AWS), where he is responsible for leading the development and execution of AWS’s strategic initiatives in the financial services industry around the world. In his 17 year career, Scott has worked for firms such as JPMorgan Chase, Nasdaq, Merrill Lynch, and Penson Worldwide. At Nasdaq, Scott was responsible for global business and product strategy and a co-founder of the FinQloud platform. Before joining NASDAQ, Scott ran Surveillance and Trading Compliance for one of the nation’s largest clearing broker-dealers, with responsibility for regulatory response, emerging regulatory initiatives, and compliance matters related to the firm’s trading and execution services divisions. Prior to his roles in regulatory compliance, Scott spent 10 years as an equity trader. A graduate of Texas A&M University, Scott is a subject matter expert quoted in industry media, a recognized speaker at industry events, and serves on the advisory board of the FinTech Sandbox.

Keith E. Niedermeier, Ph.D., is currently the Director of the Undergraduate Marketing Program and an Adjunct Associate Professor of Marketing at the Wharton School, University of Pennsylvania. He previously spent five years as an Assistant Professor of Marketing at Penn State University and is also a Visiting Professor at the Peking University, Beijing International MBA program. He received his Ph.D. in Social Psychology from Michigan State University in 1999. Before going into academics, he worked in advertising at a large Midwest firm specializing in the automotive industry and business-to-business marketing.

Dr. Niedermeier’s research focuses on consumer decision-making. His specific interests involve consumer decision making, branding, investor psychology, and marketing in China. Dr. Niedermeier’s research has been published in the Journal of Public Policy & Marketing, Journal of Personality and Social Psychology, Journal of Applied Social Psychology, Psychology and Marketing, as well as several other journals and conferences proceedings. He is also the co-author of two books: Marketing for Financial Advisors and Statistical Analysis of Longitudinal Categorical Data in the Social and Behavioral Sciences

Additionally, Dr. Niedermeier teaches Introductory Marketing, Consumer Behavior, Advertising Management, and Marketing Strategy at the undergraduate and MBA levels. In the past, he has taught courses in Social Psychology, Statistics, Interpersonal Relationships and Group Dynamics. He has been recognized as an outstanding teacher, receiving the prestigious Wharton MBA Excellence in Teaching Award and the Whitney Award for outstanding undergraduate teaching. His other honors include the American Marketing Association/Hugh G. Wales Outstanding Faculty Advisor Award and the Thomas C. Kinnear/Journal of Public Policy & Marketing Award. Dr. Niedermeier has also taught specialized executive education sessions to firms such as Citi, Merrill Lynch/Bank of America, Janney Montgomery Scott, AXA/Equitable, GlaxoSmithKline and Pfizer.

JOHN O’LEARY has lived through worse than most can imagine.

At the age of nine, John was severely burned on 100% of his body. No one expected him to survive the first night. But he did. He then survived months in a hospital bed, dozens of surgeries, and years of therapy. Before his tenth birthday, John lost all of his fingers to amputation.

This wasn’t the end. John’s journey was just beginning. From this tragedy, John received the greatest gift – embracing the truth that regardless of our personal and professional challenges, we choose how to.

• Navigate adversity through decision-making
• Reveal a brighter vision for what’s possible
• Live boldly to impact others

As a boy in that hospital bed, John could not have foreseen the amazing things he would accomplish. But his journey proved more empowering and rewarding than he could have ever imagined. It gave him strength. It fueled and drove him on. It provided hope. It taught him compassion and understanding, and it gave him a solid foundation for living.

Some call John a survivor, but he is so much more than that. John O’Leary is a beacon of hope, and he’s ready to share his message with you.

John now lives to share his story and to spark the stories of others living boldly, so that together we can forge an extraordinary future by finding the possibility in the present.

LOUI OLIVAS, joined Arizona State University (ASU) in 1979 as the assistant director of the Center for Executive Development and served as the director from 1982-86. Dr. Olivas served as the assistant vice president for academic affairs at ASU for seventeen years until his appointment to his current position in 2006. As a tenured professor in the Department of Management in the W. P. Carey School of Business, his teaching and research emphasis is in entrepreneurship, small business management, and Hispanic demographics–marketing perspectives.

Published work by Dr. Olivas focuses on personnel, management, training, and small business operations. Since 1993, Dr. Olivas has authored the annual DATOS Report, Arizona Hispanic Chamber of Commerce, and since 1991, he has published the Annual Survey of Minority-Owned Businesses in Arizona. He is also the editor of the 81st Arizona Town Hall Report entitled Arizona Hispanics: The Evolution of Influence.

Prior to coming to ASU, Dr. Olivas served as the director of Executive Development and Education for the former Western Savings and Loan Association; director of Employee Development with the City of Phoenix, Arizona; and as a consultant, instructor, and developer of various other executive development programs involving Fortune 500 companies.

In addition to the numerous national and local awards he has received for his work in business, education and the community, honors given to Dr. Olivas include the “Outstanding Teaching Award” by ASU undergraduate students and the “Teaching Excellence Award” for ASU’s Center for Executive Development. AZ LULAC also named him “Educator of the Year.” The Be A Leader Foundation has established an Endowed Scholarship in his name in honor of his sustained efforts in mentoring business students. The American Higher Education Association bestowed upon him their prestigious “Higher Education Leadership Award.”

Dr. Olivas has provided leadership and service to numerous national and local boards and commissions, such as the founding dean of the National Hispanic Corporate Council Institute; the founding president of the American Association of Hispanics in Higher Education; secretary-treasurer for Project ChalleNGe Foundation; director of the U.S./Mexico Solidarity Foundation; member of the U.S. Hispanic Chamber of Commerce, Council of Economic Advisors; board member of Angelita’s Amigos Inc. and board member of St. Joseph’s Hospital Foundation. He is also a founding board member for the following: Construct Net International, QuePasa.com, a publicly traded company, NASDAQ and Sonoran Bank, Arizona (Manhattan Bank of Kansas City). In addition, Dr. Olivas is a retired colonel from the Arizona Air National Guard, having served a distinguished 29-year military career.

ANTHONY PALOMBIT brings more than three decades of corporate and consulting experience in the areas of executive coaching,organizational effectiveness and leadership development. His client list includes: BlackRock, Gymboree, Fitbit, VMware, Nike,Sensata Technologies, Cirque du Soleil, IBM, EBay, PayPal, Microsoft, Pfizer, American Express, Intuitive Surgical, Eli Lilly,the UN, the CIA, the Department of Defense, Victoria’s Secret, Cisco, Burlington Stores and Logitech.

Anthony specializes in coaching CEOs and their executive teams at mid-cap firms. In addition to coaching, he designs and facilitates executive team off-sites and leadership summits.

Anthony teaches in the Executive Education Program at the Wharton School of Business. He has extensive expertise in the field of leadership development assessments (personality, emotional intelligence, leadership impact, 360s and thinking styles)and has trained and certified over 2,000 facilitators, executive coaches and therapists in use of these technologies. He has led efforts in the design, development and delivery of customized, enterprise-wide leadership development programs. Some of the courses he developed and delivered include: Sets Strategy and Drives Results, Leveraging Unconscious Bias to Make Better Business Decisions, Brings Out the Best in People, Client and Market Insight and Builds Process and Organizational Excellence.

He spent six years working abroad in Europe, Asia and the Caribbean coaching leaders how to effectively manage in global environments. He speaks French fluently. Anthony is a licensed, clinical psychologist in the state of California and has a clinical practice in San Francisco working with individuals and couples in a therapeutic capacity. Anthony has a BS degree in Chemical Engineering, a BA in Biochemistry, MAs in Graphic Arts and French Literature and a Ph.D. in Psychology.

DR. ROCH PARAYRE is a Partner in Leadership Consulting at Heidrick & Struggles. A master teacher and world-class speaker, Dr. Roch Parayre is a strategist who blends rigor with contagious enthusiasm. He urges leaders and organizations towards new ways of thinking: “My job is to energize people – both in the classroom and in the boardroom. If you aren’t passionate about your strategy, you’ll never get the buy-in you need to grow and transform your business.”

Roch has advised organizations on five continents and across a wide spectrum of industries. Clients such as Pepsi, Microsoft, GE, Disney, L’Oreal, Merrill Lynch, and Comcast rely on Roch for his expertise and motivational skills. His executive education seminars focus on accelerating performance, decision-making, scenario planning, innovation, and strategy.

Also a Teaching Fellow at the Wharton School of the University of Pennsylvania, he is co-Academic Director of Wharton’s Full-Spectrum Innovation program. Roch also teaches at CEDEP and INSEAD in France, for Duke Corporate Education, and at the Tuck School of Business at Dartmouth College. He was previously a Senior Fellow in the Mack Center for Technological Innovation at the Wharton School, and was a faculty member at the Cox School of Business at SMU, where he won numerous MBA teaching awards. Roch holds a B.S. in Applied Mathematics from the University of Ottawa, an M.S. in Engineering Economic Systems from Stanford University, and a Ph.D. in Business Strategy from the University of British Columbia.

TOM PATTERSON is the Chief Trust Officer for Unisys. An acclaimed security expert with three decades of experience across all facets of security, Tom is a published author and keynote speaker providing compelling insight into cybersecurity issues of the day, with a view into a more secure tomorrow.

At Unisys Tom runs the global security business, including expert consulting, disruptive products, and efficient managed services, in support of hundreds of global clients including governments and critical infrastructure companies that rely on Unisys to protect national borders, transact trillions dollars, deliver energy to millions, secure global air transit, and provide healthcare to entire populations.

Tom has served on several public company boards, and advised the FBI, Secret Service, and White House on security issues. He currently holds a Top Secret clearance and serves pro-bono on the Ft. Gordon Cyber District Alliance, Security Innovation Network, and Augusta Innovation Zone non-profit boards. Tom also has been appointed to and currently serves on the President’s National Security Telecommunications Advisory Committee’s (NSTAC) Emerging Technology Strategic Vision Subcommittee.

Prior to Unisys, Tom has run security services for Deloitte in EMEA, and was IBM's Chief eCommerce Strategist. Tom has worked on security for the launch of a nuclear aircraft carrier and space shuttle as well as with the U.S. Government and businesses around the world. The author of Mapping Security, Tom is a frequent guest security expert on TV including CNBC, Fox and CNN, blogs regularly on Twitter @TomTalks, and speaks frequently at DoJ, DoD, SIFMA, East-West Institute, and many other high level government and industry events around the world.

Kathy Pearson, Ph.D. is Founder and President of Enterprise Learning Solutions, a firm focused on executive development and learning across industries. She is a Senior Fellow at the Leonard Davis Institute of Health Economics at the University of Pennsylvania and has also served as an adjunct associate professor in the Operations and Information Management Department at The Wharton School. In this academic capacity Kathy taught operations management courses in the MBA program and Executive Master’s of Technology Management programs as well as Probability and Statistics, Simulation Modeling, and other courses for the department and the University of Pennsylvania.

An award-winning educator, Kathy is heavily involved in Executive Education at The Wharton School, Duke CE, and the Institute for Management Studies, teaching on a variety of topics such as Complex Decision Making, Strategic Agility, The Enterprise Mindset, Stakeholder Management, Operational Excellence, and Strategic Execution. As Academic Director for many programs, she is responsible for the design of the academic curriculum, the integration of the material, and the overall educational quality of the program.

Many of Kathy’s clients are in the health care and financial services fields, but she has also worked with executives from a wide variety of global industries, including professional services, the technology field, consumer products, and the manufacturing sector. Her client list includes organizations as diverse as Cardinal Health, Children’s Miracle Network, Chubb Group of Insurance Companies, Coca-Cola, Comcast, The Estee Lauder Companies, GlaxoSmithKline, India Tax Department within the India Ministry of Finance, Merck, Novartis, Novo Nordisk, Organization for Economic Co-operation and Development (OECD), Royal Bank of Scotland, Schneider Electric, Siam Commercial Bank, UnitedHealthGroup, Westpac Bank Australia, and the World Bank.

In addition to her executive development work, Kathy’s industrial and consulting experience includes consulting to senior leadership teams in the areas of strategic formulation, complex decision making under uncertainty, and strategic execution. She currently serves on the Board of Summer Search Philadelphia, a non-profit organization that works with disadvantaged youth to prepare them for college and beyond. Kathy received her B.S. degree in theoretical mathematics from Auburn University, her M.S. degree in Decision Sciences from Georgia State University, and her Ph.D. in industrial engineering (concentration in statistics) from Northwestern University.

ANDREW PEK is a Senior Partner and internationally recognized leader, working at the intersection of strategy, innovation, and leadership. Throughout his consulting career, Mr. Pek has coached many CEOs and senior executives to build more agile and innovative organizations. He brings a strong pedigree and portfolio of success in the consumer products, finance, manufacturing, pharmaceutical and telecommunication industries.

He has advised a number of senior executives at BNP Paribas, Barlays, Citi Group, Coca Cola, Estee Lauder, Johnson & Johnson, The Limited, Pfizer Inc. and Steelcase. As a former executive and global head of innovation for Pfizer Consumer Healthcare, he has helped implement a record number of growth initiatives and innovations, including the successful launch and expansion of Listerine Pocketpaks Breath Strips.

Mr. Pek typical client engagements include shaping and executing growth strategies; coaching and cultivating more innovative leaders; and developing more design thinking work cultures. He has also worked extensively in helping senior leaders and organizations prepare for and adapt to disruption by building agile and resilient organization cultures.

Prior to working at Korn Ferry, Mr. Pek formed and built many successful consulting boutiques such as ivibe global and was a partner at Accenture and held a number of global innovation, change management, and marketing roles at various companies, including British Petroleum.

In addition to his advisory, coaching, and strategy experience, Mr. Pek has published several award winning books and articles on innovative leaders and culture. He is an adjunct professor at the Cornell University Executive MBA program where teaches courses on innovation, new venture creation and design thinking . Andrew is a frequent lecturer at the Central Eastern European University and Institute of Design in Chicago has been invited to speak and share his views about leadership and change on national news network such as ABC, NBC, CBS, and Fox.

Mr. Pek has a degree in organizational behavior from Case Western Reserve University and a Bachelor of Arts from Baldwin-Wallace University. He is fluent in English, Hungarian and has limited proficiency in German. Today, Andrew and his family live in New York.

JOE PERFETTI is a subject matter expert in corporate finance and strategy who has delivered over 1200 teaching days over the past 21 years for leading corporations and consulting firms including McKinsey & Co, Morgan Stanley, Santander, BBVA, Royal Bank of Scotland, Citibank, Standard Chartered, China Merchants Bank, UnitedHealth Group, Shire, GlaxoSmithKline, Eisai, Johnson & Johnson, Sanofi-Aventis, Medtronic, Eli Lilly, West Pennsylvania Allegheny Health System, University of Pennsylvania Health System, Royal Caribbean, Lands' End, Hughes, AT&T, Entergy, Black & Decker, Sprint, General Electric, Ingersoll Rand, Novelis, Dow Chemical, Lockheed Martin, Raytheon, United Technologies, Force 3, Nestle, ABB, Motorola, Chevron, Sun Microsystems, Worldspan and Delta Air Lines. Mr. Perfetti is a partner in the consulting firm CEP LLC focusing on financial consulting, analysis and education for large organizations.

Mr. Perfetti is a Learning Director with Wharton Executive Education. He has taught in numerous open enrollment and custom programs including the Wharton Executive Development Program. Mr. Perfetti was on the team at Wharton that won the 2011 Excellence in Practice Award from European Foundation for Management Developement for work at the Royal Bank of Scotland. Mr. Perfetti also serves as a Lecturer at the RH Smith School of Business at the University of Maryland, College Park and teaches Equity Analysis at the MBA and undergraduate level, as well as Corporate Finance in the MBA program. Mr. Perfetti was previously an Adjunct Faculty at Emory University where he taught in the MBA program and in various executive education programs.

Mr. Perfetti has authored 3 financial CD ROMs including the award winning Why Finance Matters. A serial entrepreneur, he started Intelliworks Inc., a venture-backed CRM company focused on higher education and an online knowledge sharing company. While at Intelliworks, Mr. Perfetti helped raise $19mm of venture financing through several rounds of financing.

Mr. Perfetti is a graduate of the Wharton School of Business of the University of Pennsylvania where he was a Teaching Assistant in the EMBA program. An avid debater, he participated in the 1989 world debate championships in Glasgow, Scotland.

JOE PFEIFFER has spent his career helping to build awesome products with great developers, designers, business and sales people. He started as a software engineer in Minneapolis before moving into product management and out to Silicon Valley and eventually landing in New York City where he is today.

His roles have been in various industries from Symantec (security) to The Wall Street Journal (media) to Gravity (a startup acquired by AOL-Verizon) and he currently is the VP of Product for LearnVest (fintech). He holds a Computer Science degree from the University of Minnesota, an MBA from Augsburg College and is currently working on his CFP.

BRYAN PISKOROWSKI has worked with Wells Fargo Advisors and its predecessor firms for over 20 years. The Advice and Market Strategy team is responsible for following market trends and using Wells Fargo Investment Institute research to pinpoint investment solutions for Financial Advisors and their clients. Bryan leads a team of Regional Advice Officers who promote research themes and recommend strategies to effectively align investment portfolios. He also heads the Idea and Opportunity Review Boards at Wells Fargo Advisors, which are responsible for delivering prescriptive portfolio recommendations to Financial Advisors. Bryan is a member of the Wells Fargo Advisors Investment Policy and Product Committees and serves on the firm’s Senior Leadership Board.

Prior to the formation of Wells Fargo Advisors in 2009, Bryan held several leadership roles in research, sales and marketing for Wachovia Securities in Richmond, Virginia and for Prudential Securities in New York City. Bryan received his B.A. from Colgate University with an honors degree in history. He is a graduate of the Securities Industry Institute®
at The Wharton School of The University of Pennsylvania.

Bryan serves as a spokesman for Wells Fargo Advisors, having appeared on CNBC, Fox News, the Associated Press, Reuters, and The Wall Street Journal, The New York Times, and USA Today. He is also a lecturer at the ‎Securities Industry Institute® at The Wharton School of Business at the University of Pennsylvania.

Bryan, his wife Heather and their two boys reside in St. Louis, MO. He is on the Board of Trustees for the Saint Michael School of Clayton, is a member of the Greater St. Louis United Way’s Alexis de Tocqueville Society and sits on the Annual Giving Committee for Colgate University.

KRISHNA RAMASWAMY is Professor of Finance at the Wharton School of the University of Pennsylvania. From 1985 to 1990 he was the Banker’s Trust Term Associate Professor of Finance at the Wharton School. His research interests include corporation finance, investment management in stock and bond markets, and the valuation and use of options and futures contracts. His current research includes tests of models of the term structure of interest rates; the relation between futures markets and cash markets, and the use of binomial models as approximations in valuing financial securities. His work has appeared in the Journal of Finance, the Journal of Financial Economics, and The Review of Financial Studies.

Krishna received his Ph.D. in Finance from Stanford University. He has an M.B.A. from Duke University, and a B.Tech. (Honors) from the Indian Institute of Technology at Kharagpur. He has served as a financial economist at the Economics Research Group at Bell Laboratories, and on the faculty of the Graduate School of Business at Columbia University. He has been a consultant to the World Bank, Bankers Trust and the International Monetary Fund, among other financial institutions. From 1979 to 1988, he served as Research Coordinator to the Institute of Quantitative Research in Finance.

Krishna has taught graduate level courses on risk management, options and futures trading, and derivatives in the United States and Latin America (with the assistance of the World Bank), in Singapore (in connection with The Aresty Institute of Executive Education at The Wharton School), and in India (for the Wharton Alumni Association of India).

MICHAEL RUFINO is Executive Vice President and Head of Member Regulation—Sales Practice. In this capacity, he is responsible for overseeing FINRA’s Sales Practice program, which encompasses 15 District offices across the United States and the Membership Application Program. Mr. Rufino began his regulatory career in 1988 at the New York Stock Exchange. He has been with FINRA since its creation in 2007.

Prior to serving in his current capacity, Mr. Rufino was the Chief Operating Officer in Member Regulation—Sales Practice. He has been involved in various industry initiatives throughout his career in regulation. In addition, Mr. Rufino is a representative on FINRA’s Compliance Advisory Committee.

He has also served as a member of the Securities Industry Continuing Education (CE) Council, assisted in the creation of Electronic Communications Guidance to the industry and served as a member of the Social Networking Task Force. In addition, he participated in the Financial Action Task Force’s (FATF) initiative to create guidance on the risk-based approach to the prevention of money laundering and terrorist financing as well as the FATF Typology on the Securities Industry. He previously served as FINRA’s representative on International Organization of Securities Commissions’ (IOSCO) Committee 3 on Intermediaries.

Mr. Rufino graduated magna cum laude from Iona College with a degree in finance, and received his MBA with honors in management information systems from Iona.

JOAN SCHWARTZ is Chief Legal Officer and a Managing Director for Pershing LLC, a BNY Mellon company. Since joining Pershing in July 2008, Ms. Schwartz has been responsible for supervising the Legal Department staff, litigation, employment matters, regulatory inquiries, anti-money laundering-related issues and inquiries from law enforcement. She is also chief advisor to Pershing’s Executive Committee and business units and lead counsel representing Pershing in compliance and regulatory inquiries from law enforcement. Ms. Schwartz began her career as an attorney in the financial services industry with Prudential Securities Inc. and was with Wachovia Securities LLC and First Clearing LLC before joining Pershing. Ms. Schwartz is a member of SIFMA’s Compliance and Legal Division and vice chair of SIFMA Clearing Firm Committee. She earned a Bachelor of Arts degree from Binghamton University and a Juris Doctorate degree from Brooklyn Law School.

MAURICE SCHWEITZER is the Cecilia Yen Koo Professor of Operations and Information Management at the Wharton School. His research focuses on negotiations and behavioral decision research. He has published over 70 articles and recently co-authored the book Friend & Foe.

MARY KAY SCUCCI, PhD, CPA is a Managing Director for the Securities Industry Financial Markets Association (SIFMA).

At SIFMA, Mary Kay is the accounting and finance subject matter expert and staffs several regulatory policy committees, including the Regulatory Capital and Margin Committee, the Global Financial Institutions Accounting Committee, the IFRS Committee, the Asset Management Accounting Policy Committee, the Product Controllers Committee and the Treasurer’s Committee. Mary Kay is also the liaison to the Boards of SIFMA’s Financial Management Society (FMS) and the Internal Auditor Society (IAS).

Before joining SIFMA Mary Kay founded Y&M Ventures, Inc. and provided consulting services for financial services firms such as Morgan Stanley and The Blackstone Group. Prior to Y&M, Mary Kay was Chief Financial Officer for Bear Stearns Asset Management and Managing Director of Accounting Policy for Bear Stearns.

Mary Kay’s recent board service includes chairman of the audit committee for Power Medical Interventions, a publicly-traded medical device firm (NASDAQ: PMII). She is currently on the Dean’s advisory board for William Paterson University’s Cotsakos College of Business and the Board of Trustees for the Financial Executive Research Foundation.

Over her career, Mary Kay has held many senior financial executive roles including Chief Financial Officer, Corporate Controller, Director of Finance, and Director of Strategy Development for firms inclusive of a Fortune 50 corporation (Honeywell International), a start-up organization (Power Medical Interventions, Inc.), and an international firm (Schering AG.).

Mary Kay is frequently a requested speaker for esteemed educational institutions and has been interviewed for articles features in The Financial Executive Magazine.
Mary Kay is a Certified Public Accountant (CPA). She holds two bachelor’s degrees, a MBA from The Wharton School of the University of Pennsylvania, a PhD with dual concentrations in accounting and finance from Rutgers University, and is currently teaching at Columbia University.

JEREMY SIEGEL is the Russell E. Palmer Professor of Finance at the Wharton School of the University of Pennsylvania. He graduated from Columbia University in 1967, received his Ph.D. in Economics from the Massachusetts Institute of Technology in 1971, and spent one year as a National Science Foundation Post-Doctoral Fellow at Harvard University. Prof. Siegel taught for four years at the Graduate School of Business of the University of Chicago before joining the Wharton faculty in 1976.

Prof. Siegel has written and lectured extensively about the economy and financial markets, has appeared frequently on CNN, CNBC, NPR and others networks. He is a regular columnist for Kiplinger’s and Yahoo! Finance and has contributed articles to The Wall Street Journal, Barron’s, The Financial Times and other national and international news media. Prof. Siegel served for 15 years as head of economics training at JP Morgan and is currently the academic director of the U.S. Securities Industry Institute.

Prof. Siegel is the author of numerous professional articles and three books. His best known, Stocks for the Long Run, now in its fifth edition, was named by the Washington Post as one of the ten-best investment books of all time. His book, The Future for Investors: Why the Tried and the True Triumph over the Bold and New, was published in 2005 and was named one of the best business books published that year by Business Week, the Financial Times, and Barron’s magazine.

Prof. Siegel has received many awards and citations for his research and excellence in teaching. In November 2003 he was presented the Distinguished Leadership Award by the Securities Industry Association and in May 2005 he was presented the prestigious Nicholas Molodovsky Award by the Chartered Financial Analysts Institute to “those individuals who have made outstanding contributions of such significance as to change the direction of the profession and to raise it to higher standards of accomplishment.”

Past awards include the Graham and Dodd Award for the best article published in The Financial Analysts Journal in 1993 and the Peter Bernstein and Frank Fabozzi Award for the best article published in The Journal of Portfolio Management in 2000.

In 1994 Professor Siegel received the highest teaching rating in a worldwide ranking of business school professors conducted by Business Week magazine and in March 2015 he was awarded The Adam Smith Distinguished Leadership Award for the individual who exemplifies an outstanding level of leadership, deep commitment to public service, and strong devotion to furthering economic initiatives among today’s youth.

YAEL C. SIVI is the Co-Founder and Managing Partner of Collaborative Coaching, www.collaborative-coaching.com. As a consultant, executive coach, and keynote speaker with over fifteen years experience working in Fortune 1000 companies, non-profit organizations, and government agencies, Yael’s focus is on supporting leaders and teams to be more conscious and collaborative.

Yael has worked on numerous global and domestic assignments— in the role of executive/leadership coach, team coach, facilitator, process consultant, curriculum designer, trainer, and presenter. Her clients have included American Express, Boehringer Ingelheim, Citibank, Coca-Cola, Commerzbank, Deutsche Bank, Genentech, Goldman Sachs, JPMorgan Chase, NASA, NYSE/Euronext, New York Foundation for the Arts, Partnership for Children, Securities Industry Institute, United Nations, US Forest Service, WL Gore, World Bank, among others.

Yael’s area of expertise centers upon improving human dynamics in the workplace. She speaks about and consults on topics such: emotional intelligence, conscious leadership, intentional organizational culture, team collaboration, conflict management, mentoring, as well as diversity and inclusion. She was selected as a presenter at the 2015 Organizational Development Summit, during which she spoke about Millennials in the workplace—specifically, as emerging leaders and ambivalent followers.

Yael is a regular faculty member at SIFMA’s annual Securities Industry Institute, held each spring at Wharton Business School, where she teaches classes on generations in the workplace and cultivating collaboration. She is also the lead facilitator for Princeton AlumniCorps’ Emerging Leaders Program, an 8-month leadership development program for non-profit managers/leaders in New York City.

In addition to her coaching/consulting work, Yael is also a licensed psychotherapist with a part-time private practice in New York City. In her counseling work, Yael supports individuals and couples to build self-awareness, versatility, and meaning in their personal and professional lives.

JOHN SPENCE is the author of five books, a business management consultant, executive trainer and speaker with a client list that includes numerous Fortune 500 firms, small to medium-sized businesses and other organizations around the globe.

At 26 he was the CEO of an international Rockefeller foundation, overseeing projects in 20 countries. Just two years later he was an Inc. Magazine Up and Coming Young Business Leader. Today, John is recognized as one of the Top 100 Business Thought Leaders in America, one of the Top 100 Small Business Influencers in America and one of the top 500 Leadership Development Experts in the World.

John is also one of the American Management Association’s Leaders to Watch in 2015 along with Sergey Brin, Larry Page and Jeff Bezos.

He has been a guest lecturer at more than 90 colleges and universities including MIT, Stanford, Cornell and the Wharton School of Business, the owner or CEO of 10 companies and has made a career out of “Making the Very Complex… Awesomely Simple”.

  

PAUL A. TIFFANY, Ph.D., is a highly experienced business consultant and an acclaimed facilitator of management training and development programs for leading firms and organizations throughout the world.  He currently serves as a Senior Lecturer at the Haas School of Business of the University of California, Berkeley, where he teaches courses in Business Policy & Strategy and International Management.  Prior to this Professor Tiffany taught as a Lecturer at Stanford University, and he also currently is a Visiting Professor at Sasin, the Graduate Institute of Business at Chulalongkorn University in Thailand.  He has previously taught in Beijing, Shanghai, and Chengdu in China, and will teach at Shanghai University in  Summer 2017.  Professor Tiffany earned an MBA from Harvard University and his Ph.D. from the University of California at Berkeley.  Dr. Tiffany also authored several books: The Decline of American Steel was published by Oxford University Press in 1988, and appeared in a Japanese edition in 1989.  Business Plans for Dummies (John Wiley & Sons), co-authored with Dr. Steven Peterson, was published in 1997 and again in 2005 in a new 2nd Edition.  A world-wide Top-Five finalist in the Booz Allen/Financial Times “Best Business Book of 1998” competition, the first edition went through fifteen printings and was available in ten languages.  Professor Tiffany has also been recognized for his teaching, receiving the Cheit Award as the outstanding professor in the Berkeley Executive MBA program in both 2003 and 2004. Dr. Tiffany currently leads Paul Tiffany & Associates, a multi-specialty consulting and training organization that offers management services to firms throughout the world.  Recent clients have included the Stock Exchange of Thailand (Bangkok), Wells Fargo Financial Advisors, Raymond James, Deutsche Post DHL (Germany), Delaware Investments, Siam Cement Group (Thailand), Thai Beverage (Thailand), PepsiCo SE Asia, The Hartford Insurance Co., Krungsri Bank (Thailand), Statoil (Norway), Microsoft, Mohegan Sun Resort and Casino, US Steel, Cisco Systems, Zoetis-SE Asia, Korean Management Association (Korea), National Broadcasting and Telecommunications Commission of Thailand, and MinSheng Bank (China), PTT Exploration and Production (Thailand), among many others.  Dr. Tiffany resides in Northern California.

 

MICHAEL N. UNGAR currently serves as Chair of Ulmer & Berne LLP’s Litigation Department. He is a member of the firm’s Management Committee, and Past President of the Cleveland Metropolitan Bar Association. Mike has received national accolades for client focus and service. He is ranked by Chambers USA: America’s Leading Lawyers for Business in Band 1 (the highest of 6 bands) for General Commercial Litigation, was named among the Top 10 attorneys in Ohio by the 2017 Ohio Super Lawyers list and previously held the publication’s #1 ranking for any attorney in Ohio each year from 2013 to 2016, and was named the 2017 Banking and Finance Litigation “Lawyer of the Year” in Cleveland, a designation Best Lawyers in America awarded to just one lawyer per practice area in the nation’s largest legal markets. Additionally, Benchmark Litigation repeatedly selected Mike as one of the top 100 Trial Lawyers in the country from 2015 to 2017.

Mike’s national business litigation practice encompasses a broad range of general business disputes, with a focus on commercial, banking, professional liability, securities and broker-dealer matters, including arbitrations, class actions and other types of complex litigation. Mike also frequently serves as a mediator and arbitrator in business disputes. According to client feedback obtained during the Chambers USA selection and ranking process, Mike is described as “a razor-sharp litigator and all-around high class guy.” During the Benchmark Litigation selection process, an industry peer said, “Michael is beyond good, he’s just A1, gold standard awesome.” Another peer insisted, “If I had to choose one litigator who’s at the top, someone that would be my first choice to represent me in a tough case, Michael would be my first call. He’s an intellectual tough guy who knows how to fight and when to fight, and he is smart about it.” He has also been included in The Best Lawyers in America (2006-2017) and is regularly listed in the Ohio Super Lawyers List (2005-2017). Mike is also an AV rated lawyer by Martindale-Hubbell.

GRACE VOGEL advises the PwC’s financial services clients on matters ranging from business strategy to governance, risk and regulatory issues, including net capital, customer protection, margin and sales practices.

Grace served as the Financial Industry Regulatory Authority’s (FINRA) executive vice president (EVP) for member regulation since FINRA’s inception in 2007. She oversaw the Department of Risk Oversight and Operational Regulation through the financial crisis and managed industry wide regulatory change while coordinating with the Federal Reserve, SEC and CFTC. She previously served as EVP for member firm regulation at the New York Stock Exchange until its regulatory operations merged with the National Association of Securities Dealers to form FINRA.

Previously, Grace served for over a decade in key financial roles at large global banks. She was deputy controller at Citigroup and controller at Citibank. Before that she was the chief accounting officer at JP Morgan and chief financial officer at JP Morgan Securities.
Grace has been very active in many financial services industry organizations, including serving as president of the Financial Management Division of the SIA. She is also on the Advisory Council of the University of Albany’s Institute for Financial Market Regulation. She earned her Bachelor of Science in accounting from the State University of New York in Albany.

BRIAN WALTER is the Global Industry Leadership Partner and Global Wealth Management Lead for Banking and Financial Services within The IBM Watson Group. Watson is one of the most significant innovations in the company’s 103 year history and represents a new era of information technology.

Brian’s responsibilities include solutions design and product management for Wealth Management and Banking, leading transformation programs for Watson FSS Clients, leading global go to market activities and use case development. Additionally, Mr. Walter is a key member of the group responsible for evaluation and recommendation for acquisitions and partnerships within the Watson Financial Services Sector organization.

Mr. Walter has over 30 years of consulting and management experience within the Financial Services sector. Prior to joining IBM, Brian held multiple executive positions including: creation and delivery of strategic solutions, software development, head of operations, company acquisitions, strategic partnerships, and client acquisitions.

In his professional career Brian has launched, built and sold 3 businesses in the internet and financial services domains. During this period he was one of the early pioneers of commercial application of the internet and built some the earliest and most innovative commerce sites including Best Buy.com, J Crew.com, American Airlines.com. He also led the early development of internet transaction sites of Fidelity, HSBC, Citi, and Merrill Lynch.

Mr. Walter is a frequent speaker at industry events and analyst briefings and author of a number of White Papers on the impact of digital and cognitive computing.

KEVIN WERBACH is an associate professor of Legal Studies at the Wharton School, University of Pennsylvania, and the founder of Supernova Group, a technology consulting firm.

A leading expert on Internet and telecommunications policy, Werbach served on the Obama Administration’s Presidential Transition Team, and then advised the FCC and Department of Commerce on broadband issues. He is a pioneer in the emerging field of gamification, the co-author of For the Win: How Game Thinking Can Revolutionize Your Business, and creator of the Coursera Gamification massive open online course (MOOC), with over 300,000 enrollments. He was named Wharton’s first-ever “Iron Prof” in 2010. Earlier in his career, he edited the influential technology newsletter Release 1.0, and helped develop the US Government’s Internet and e-commerce policies as FCC Counsel for New Technology Policy in the Clinton Administration.

STEPHEN YOUNG is the Senior Partner of Insight Education Systems, a management consulting firm specializing in leadership and organizational development services. As a recognized leader and foremost expert in this field, Mr. Young frequently consults with senior executives and management teams of Fortune 500 companies.

For more than a decade, Steve has been a featured speaker at business conferences worldwide. He is much sought after for his powerful and engaging presentation style.
His widely acclaimed seminar MicroInequities: The Power of Small™ has been embraced by over 20% of Fortune 500 corporations in 32 countries, in every region of the world and is being touted by corporate America as the new paradigm for diversity and leadership.

His work has been published in numerous business articles and recognized in a wide range of business publications, including The Wall Street Journal and Time Magazine and Harvard Business Review’s Management Newsletter. His program was also featured by Oprah Winfrey in two issues of her “O” Magazine.

McGraw-Hill published his top-selling book, Micromessaging: Why Great Leadership is Beyond Words.

As former Senior Vice President and Chief Diversity Officer at JPMorgan Chase, Mr. Young managed the firm’s diversity strategy worldwide. Under his leadership, the company garnered numerous awards for its diversity initiatives, including the Catalyst Award, Fortune Magazine’s Top 50 Companies for Minorities Award, the Best Companies Award from Working Mother Magazine, and Diversity, Inc Magazine’s designation as the #1 company for diversity.

Prior to joining JPMorgan Chase, Stephen was Vice President for Diversity with Merrill Lynch. He is a former staff member of the Rutgers University Graduate School of Management, has served on the Diversity Committee for the United Way of America and as an Advisory Board member to the Rev. Jesse Jackson’s Wall Street Project. He is the former Chairman of the Securities Industry Association’s Diversity Committee, and Board member of Scholastic’s Alliance for Young Writers and Artists. Additionally, he served on his local Board of Education.