Speakers

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2015 SPEAKERS

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Andrew Blum
Former Chairman of CE Unterberg Towbin

Andy Blum formerly served as Chairman of C.E. Unterberg, Towbin International. Prior to this, Mr. Blum served as Managing Director of Member Firms and Institutional Relations at the National Association of Securities Dealers, Inc./NASDAQ Stock Market. From 1986 to 1988, Andy was a Managing Director of L.F. Rothschild. From 1977 to 1986, he was a General Partner and Administrative Managing Director of L.F. Rothschild, Unterberg, Towbin and the Head of the Syndicate Department. In addition, he has served on the NASD Board of Governors and has been affiliated with the American Stock Exchange. Andy attended Hobart College.

image026Richie Friedman
Chairman of RFMF Investments
& Charles Rutenberg Realty

Known by many on Wall Street as “The New Issue King”, Richie Friedman, possesses a long distinguished career on the Street. As President of A.P. Montgomery and Co. Inc., an over the counter Nasdaq market maker from 1961-1974, he specialized in trading every initial public offering and secondary that came to the market. During the 1960s and ‘70s he wrote The New Issues column for Financial World Magazine and The Richie Report for the Daily Mirror. He was a weekly contributor to articles for the financial section of the N.Y. Times and N.Y. Post where his insight into the state of the initial public offering and secondary markets were highly valued. After A.P. Montgomery and Co. Inc, Richie founded APMC Associates followed by RFJM Partners LLC which he disbanded to create RFMF Partners LLC. His new partnership focuses on the public equity markets as well as private placements, bridge loans, PIPEs and a variety of other private investments. Richie’s honesty and integrity along with his outstanding reputation in the new issue market have made him a legend on Wall Street. Always one to spot a good investment, Richie brought Charles Rutenberg Realty to Manhattan in 2006. That vision proved to priceless to Richie and his cofounders of CRR as it is the fastest growing independent residential real estate firm in NYC to date.

Humbert B. Powell
Managing Director at Wunderlich Securities

Humbert B. Powell III is a Managing Director at Wunderlich Securities, a full service brokerage firm headquartered in Memphis, Tennessee with 28 offices across 16 States. Prior to joining Wunderlich Securities, he was as a senior member of the Equity Capital Markets and Investment Banking Divisions of Sanders Morris Harris, an investment banking firm headquartered in Houston, Texas with 5 regional offices.
Mr. Powell served as Chairman of Marleau, Lemire USA and Vice Chairman of Marleau, Lemire Securities Inc. during the years 1994-1996. Prior to his employment with Marleau, Lemire, he served as a Senior Managing Director of the Corporate Finance Department of Bear, Stearns & Co., 1984-1994, with responsibilities for the investment banking effort for both domestic and international. Prior to his employment with Bear Stearns in 1984, Mr. Powell served as Senior Vice President and Director of E.F. Hutton & Co, where he was employed in various capacities for 18 years. He is currently a Director of several public and private companies and a Trustee of Salem International University.

image030Andy Malik
Chairman of Needham & Company

Andrew Malik was named Chairman of Needham & Company in 2008. Prior to Needham, he spent 21 years at Lehman Brothers, where he was a partner and subsequently managing director. During his time at Lehman, Mr. Malik’s duties included serving as head of Technology Capital Markets and head of the Banking Development Group. Prior to Lehman Brothers, he ran Capital Markets and Institutional Sales for C.E. Unterberg, Towbin (which became L.F. Rothschild, Unterberg, Towbin) from 1971 to 1987. Earlier in his career, Mr. Malik was a security analyst with Josephthal & Co. and a partner in charge of Institutional Sales with Muriel Siebert & Co. A well respected Wall Street veteran, he has worked on more than one thousand equity, debt, and M&A transactions. In addition, he has served on the Board of Directors of several technology companies and venture firms, including a number of years as chairman of the Audit Committee of Hummingbird, Inc. Mr. Malik also lectures extensively on college campuses on a variety of topics related to corporate finance.

lou-kerner photoLou Kerner
Managing Partner of The Social Internet Fund

Lou Kerner is the Founder and Managing Partner of The Social Internet Fund, which invests in the primary and secondary shares of rapidly growing privately held social, mobile, cloud, security, and big data companies. The Fund’s investments include, Appia (acquired by Mandalay Digital), FireEye (FEYE:NASDAQ), Livefyre, LiveRamp (acquired by Axciom), Meetup, Optimal (acquired by Brand Networks), Palantir, Scrib’d, and Yashi (acquired by NexStar). Lou is also a Managing Partner of The Israel Syndicate on AngelList, which invests in the shares of tech companies founded by Israelis, regardless of where they’re located. Lou’s Israeli investments include Viewbix, IT Central Station, and Segmanta. Lou was previously Wall Street’s first social media analyst, first on his blog, SecondShares, and then at Wedbush Securities, where he was the Managing Director of the Private Shares Group. At Wedbush, Lou started the first private shares trading desk on Wall Street. It was on SecondShares, in March of 2010, that Lou published his original report on Facebook. The research report predicted that the value of Facebook (then $10 billion) would rise to $100 billion, garnered significant media attention, leading to his return to Wall Street. Lou not only writes about Social Media, he was the first Wall Street analyst to live it, growing past 10,000 Twitter followers, and posting his research and expert conference calls on SlideShare.net where pieces often generated over 10,000 views. Lou is regularly quoted in social media stories in the WSJ, NY Times and other business publications, in addition to his recurring appearances on CNBC and Bloomberg Television. From 2003-2006 Lou was President/Owner of Bolt.com, a leading social network which grew from 500,000 monthly uniques to over 20 million uniques in three years. At Bolt, Lou oversaw the acquisition of eight smaller youth sites, but his attempt to acquire the rapidly growing thefacebook, was rebuffed. Prior to Bolt, Lou was the CEO of The .tv Corporation, an idealab company which licensed the top level domain (.tv) from the tiny island nation of Tuvalu. From 2000-2002, .tv grew to over 100 employees in Los Angeles, London and Hong Kong, before being acquired by Verisign (Nasdaq:VRSN) in a nine-figure transaction. Prior to .tv, Lou had a distinguished career as an equity analyst following media companies for Goldman Sachs and Merrill Lynch. Lou began his career at Bain & Company, where he sat outside of Mitt Romney’s office. Lou has a B.A. from U.C.L.A. and an MBA from The Stanford Graduate School of Business.

Bryce MasonBryce Mason, Ph.D.
Chief Investment Officer of Direct Lending Investments

Bryce Mason, Ph.D. is the Chief Investment Officer of Direct Lending Investments LLC, the oldest and largest short-term, high-yield, small business loans fund. Mason is best known in the industry for founding P2P-Picks, LLC, the first independent credit modeling service provider for marketplace lending which served retail and institutional investors on LendingClub and Prosper. He also designed and managed loan selection for Titan Bank, the first nationally chartered bank to buy P2P consumer loans. Mason’s expertise in modeling and advanced analytics provides investors with a clear understanding of what to expect in returns and a method by which to weigh the risks. Mason came to finance from academia, where he had a ten-year career as a data science administrator supporting senior management with facts, most recently as Assistant Vice Chancellor at UC Riverside and prior to that at Loyola Marymount University. He has served as president of the California Association for Institutional Research. Mason earned a Doctorate in Policy Analysis from the RAND Graduate School, where he was also a research fellow.

image010Sam Guzik
Partner at Guzik & Associates

Samuel S. Guzik has more than 35 years of experience as a corporate and securities attorney and business advisor in private practice in New York and Los Angeles, including as an associate at Willkie Farr and Gallagher, a major New York based international law firm, a partner at the law firm of Ervin, Cohen and Jessup, in Los Angeles, and in the firm he founded in 1993, Guzik & Associates. Mr. Guzik has represented public and privately held companies and entrepreneurs on a broad range of business and financing transactions, both public and private. Mr. Guzik has also successfully represented clients in federal securities litigation and SEC enforcement proceedings. Guzik has represented businesses in a diverse range of industries, including digital media, apparel, health care and numerous high technology based businesses. He is a recognized authority and thought leader on matters relating to the JOBS Act of 2012 and the ongoing SEC rulemaking, including Regulation D Rule 506 private placements, Regulation A+, and investment crowdfinance. He has been consulted by Congressional members, state legislators and the U.S. Small Business Administration Office of Advocacy on matters relating to the JOBS Act and state securities matters. He has also been cited by SEC Commissioner Daniel M. Gallagher on two occasions in public statements, both for his advocacy on behalf of SME’s and his thought leadership on SEC rulemaking and post-JOBS Act reforms. Mr. Guzik is also a prolific writer on JOBS Act issues affecting entrepreneurs, small and emerging companies, investors and Internet-based funding portals. He is a frequent blogger on his blog, The Corporate Securities Lawyer Blog, addressing developing corporate and securities laws issues. In 2014 he published two major commentaries on JOBS Act rulemaking in The Harvard Law School Forum on Corporate Governance and Financial Regulation: the first article, entitled “Regulation A+ Offerings – a New Era at the SEC,” discussing the SEC’s proposed regulations implementing JOBS Act Title IV Regulation A+; the second article entitled “SEC Crowdfunding Rulemaking under the JOBS Act – An Opportunity Lost?” addressing deficiencies in the SEC’s proposed Title III investment crowdfunding regulations. Both Mr. Guzik and his articles have also been cited in national business publications on issues relating to federal securities regulation, including The Economist, Forbes, Bloomberg’s BusinessWeek, Compliance Weekly and Equities.com. Mr. Guzik is also a regular speaker on federal securities matters, including JOBS Act legislation. In January 2014 Mr. Guzik led a Title III Investment Crowdfunding Roundtable in Washington, D.C. sponsored by the SBA Office of Advocacy addressing proposed SEC rulemaking. In March 2014 he was a panelist at the Angel Capital Association Annual Summit. In May 2014 he was a featured speaker and panelist at a JOBS Act Roundtable sponsored by the MIT Sloan School of Management. He also spoke at a Webinar and a conference with Congressman Patrick McHenry, a key sponsor of the JOBS Act, addressing opportunities and challenges created by the JOBS Act legislation and ongoing SEC rulemaking. Mr. Guzik is also a founding member of The Heritage Foundation Securities Regulation Working Group, focusing on federal regulatory issues affecting small businesses and emerging growth companies, including ongoing JOBS Act and Dodd-Frank SEC rulemaking. He also serves as President and Chairman of the Board of the Crowdfunding Professional Association (CfPA). He received a B.S. degree in Industrial and Labor relations from Cornell University and is a graduate of Stanford University Law School. He is admitted to practice in both New York and California. His industry-leading articles can be found at www.corporatesecuritieslawyerblog.com.

Burton_DavidDavid R. Burton
Senior Fellow in Economic Policy
Thomas A. Roe Institute for Economic Policy Studies
The Institute for Economic Freedom and Opportunity at The Heritage Foundation

David R. Burton focuses on tax matters, securities law, entitlements and regulatory and administrative law issues as The Heritage Foundation’s senior fellow in economic policy. Burton was general counsel at the National Small Business Association for two years before joining Heritage’s Roe Institute for Economic Policy Studies in 2013. He previously was chief financial officer and general counsel of the start-up Alliance for Retirement Prosperity, a conservative alternative to AARP. For 15 years, Burton was a partner in the Argus Group, a Virginia-based law, public policy and government relations firm. His career in financial and tax matters also includes the posts of vice president for finance and general counsel of New England Machinery, a multinational manufacturer of packaging equipment and testing instruments, and manager of the U.S. Chamber of Commerce’s Tax Policy Center. Burton received a juris doctor degree from the University of Maryland School of Law. He also holds a bachelor of arts degree in economics from the University of Chicago. Born at the Patuxent River Naval Air Station in St. Mary’s County, Md., Burton grew up in Baltimore. He and his wife, Nancy, currently reside in Mason Neck, Va.

Robert Akeson 3Robert E. Akeson
Director, Industrial & Commercial Bank China Financial Services (“ICBCFS”)

Mr. Akeson has experience leading prime brokerage, clearing, agency execution, research sales, and capital placement businesses. He has extensive expertise in the marketing, operations, IT, compliance, risk management, balance sheet and liquidity management aspects of these businesses. In addition, he has served on the Board of Director level at brokerage firms and on Securities Industry Association Committees. Mr. Akeson has also had General Partner and Advisory Board level experience with small hedge funds. Throughout his career, he has been active in hosting professional investor roundtables, to promote idea generation and exchange, and corporate access programs. Currently, Mr. Akeson is employed by the Industrial and Commercial Bank China Financial Services (“ICBCFS”) as Director and oversees Product Control for its prime brokerage, clearing, equity financing and agency execution businesses. These businesses involve equity, fixed income and options transactions on a global basis. Clients include hedge funds, proprietary traders, broker-dealers and other counterparties. He is responsible for assuring the alignment of interests between ICBCFS and its clients/customers from an operational, technology, compliance, risk and business standpoint. He maintains the following industry licenses and registrations: Series 7, 9, 10, 79, 24, 63 and 99. Previously he was Senior Vice President/Business Head of Neuberger Berman’s (“NB”) Professional Investor Clearing business (“PICS”). While at NB, he re-positioned PICS into a leading boutique provider of prime brokerage, clearing, agency execution and research sales services to hedge funds, Registered Investment Advisors, introducing broker-dealers, and Family Offices. As a result, the businesses grew from $25MM to $60MM. PIC’s maintained approx. $30 bil. in assets under administration and conducted $2 bil. of rehypothocatable margin activity. While at NB he was also a member of the firm’s Operating Committee. Prior to joining NB, he held officer level positions with Morgan Stanley and ADP (now Broadridge Solutions). While at Morgan Stanley he ran marketing and relationship management for their $80MM clearing business. During his tenure at ADP, he oversaw sales and marketing for $120MM business line within the firm’s broker-dealer service bureau business. Mr. Akeson holds an M.B.A. from New York University and a B.A. from Washington College. In addition, he earned a Certificate in Management Information Systems from New York University. He is also an Adjunct Instructor at Molloy College, teaching Money, Banking and Financial Markets and International Economics. In addition, he is writing a book titled, “Investing in Small Hedge Funds: What Investors and Managers Should Know.”

Annemarie TierneyAnneMarie Tierney
VP of Nasdaq Private Market

Annemarie Tierney joined Nasdaq Private Market in March 2015 as Vice President – Head of Strategy and New Markets/Counselor to New Markets. From 2010 to March 2015, Ms. Tierney worked for SecondMarket Holdings, Inc. as General Counsel and Corporate Secretary, with responsibility for the firm’s legal and broker dealer compliance functions. From 2008 to 2010, Ms. Tierney served as General Counsel and Corporate Secretary to NYFIX, Inc., a Nasdaq listed public company, with responsibility for a wide range of corporate and legal issues, including compliance with SEC rules and regulations, compliance with listing requirements, corporate governance matters, preparation of Securities Exchange Act of 1934 periodic reports, proxy statements and disclosure documents, as well as broker-dealer compliance matters. From 2002 to 2008, Ms. Tierney was Assistant General Counsel in the Office of the General Counsel of NYSE Euronext, where she had primary responsibility for NYSE Euronext’s SEC and AMF reporting function. Ms. Tierney also acted as counsel to the NYSE Global Listings Group, with particular responsibility for corporate governance and quantitative listing standards. From 1996 to 2002, Ms. Tierney was a Senior Associate in the corporate finance group at Skadden, Arps, Slate, Meagher & Flom LLP, London and New York. From 1990 to 1996, Ms. Tierney served as Special Counsel in the Office of International Corporate Finance in the Division of Corporation Finance at the U.S. Securities and Exchange Commission, with responsibility for a wide range of rulemaking and interpretative issues. Ms. Tierney earned her JD at the Columbus School of Law at the Catholic University of America, and her BS (Finance) and BA (International Relations) at the University of Delaware.

steve lordSteve Lord
Founder of Modern Money Group LLC

Steve Lord is the editor of hedge fund website FINalternatives and founder of Modern Money Group LLC, a advisory firm that consults and publishes on digital currency initiatives. He has founded and led several companies in the financial technology, investment media and asset management sectors in the United States and Europe, and held CEO and CFO positions at a variety of firms, including DealFlow Media (sold to TheStreet.com) and Knobias, Inc. (sold to Newsgrade). He has written extensively on the strategic implications of digital currency and the blockchain on financial markets, instruments and operations. Fluent in German, he holds a Masters degree in International Relations from the Fletcher School of Law and Diplomacy at Tufts University, and earned a B.S. in finance from the University of Vermont.

Will Febbo

William J. Febbo
CEO of Digital Capital Network

Will Febbo has been a director of the Merriman Holdings, Inc. board since April 2007 and assumed the role of Chief Operating Officer in January 2012. He currently oversees the launch of the Digital Capital Network within Merriman, an on-line marketplace that enables a more efficient venue for transactions in the micro and small cap marketplace. Prior to Merriman, Will founded and ran MedPanel, LLC, a disruptive technology platform within the medical information space. Will advises several companies in the US, Spain and South America and has a passion for reviving existing businesses with disruptive technology. Will has been Treasurer of the board of the United Nations of Greater Boston since November 2004.

AndrewCorn-2Andrew Corn
CEO of E5A Integrated Marketing

Andrew heads strategy; consulting with clients regarding positioning, messaging, product development, distribution and asset raising. His career has spanned CMO of public companies to Chief Investment Officer – Equities and advertising agency head. E5A is a leader in attracting institutional, advisor and accredited investors to public and private investments sponsored by broker-dealers or issuers. The firm leverages mathematical models, decision trees and digital media to achieve client goals of raising assets or revenue. The firm also works extensively in similar capacities with hedge funds, private equity and mutual funds. Until June 2010, Andrew was EVP/Chief Investment Officer, Equities for the Beacon Trust Company. At Beacon Trust, Andrew supervised the firm’s equity investment team, managing long-only strategies and long/short funds. He was also responsible for Beacon Indexes that publishes indices tracked by ETFs and UITs. Prior to Beacon Trust, Andrew was the founder of Clear Asset Management and Clear Indexes (sold to Beacon Trust). As founder, he developed the vision and premise of the firm’s investment process, multifactor models, risk management and trading strategy. Prior to managing equities Andrew was SVP of Marketing of TheStreet.com and its institutional broker-dealer subsidiary, Independent Research Group. Previously, Andrew was EVP/CMO of London-based Incepta Group, (a publicly traded, multinational, integrated agency). Andrew began his career at Admaster Communications where he rose to CEO, and founded MasterApproach, an investment industry consultant and software developer. Both were sold to Citigate.

image012Jason Jones
Co-founder of Lend Academy Holdings

Jason Jones is a Co-Founder and Partner at Lend Academy Holdings, a media and investment services holding company in the P2P and online lending sector, where he leads portfolio management and product development.  Lend Academy Holdings owns Lend Academy Media, Lend Academy Investments, and the LendIt Conference.  Prior to Lend Academy, Jason founded HighStep Capital, an investment firm focused on early-stage Internet and financial services companies, where he invested in over 200 Internet-related companies from around the world.  He currently serves on the Board of Directors of iFunding, an online real estate investment platform; and on the Board of Advisors of iMENA, a Middle Eastern Internet holding company. Previously, Jason worked as an Internet analyst at J. Goldman & Co. and at Goldman Sachs, a venture capital research analyst at Cambridge Associates, and as a trade settlements associate at Fidelity Investments.  Jason holds an MBA from the Johnson School at Cornell University where he was a Park Leadership Fellow and a BS from Babson College.  He is originally from the Boston area and he currently resides in the NYC area.

Eric Thaller VP Investor Services ProsperEric Thaller
Vice President, Investor Services of Prosper Marketplace

Eric Thaller is Vice President of Investor Services at Prosper Marketplace. In this role, Eric is responsible for overseeing all aspects of Prosper’s investor platform, including management of key institutional investors. Eric brings more than 15 years experience in the investment management business to Prosper. Prior to joining Prosper, Eric was Director of Risk Management at Adelante Capital Management. Previously, he was Managing Director and Portfolio Manager at Charles Schwab Investment Management where he was responsible for the firm’s first proprietary international equity fund and served on the Investment Policy Committee. He was also a Partner at Standard Pacific Capital where he managed a quantitatively driven hedge fund.

 Eric has an M.B.A. in Finance and Statistics from The Wharton School at the University of Pennsylvania and a B.A in Economics, Magna Cum Laude, from University of California, San Diego. He also completed The General Course at the London School of Economics.

Amy Cortese

Amy Cortese
Award-Winning Journalist and Expert on Local-Investing

Amy Cortese is an award-winning journalist, author and speaker noted for her high-profile pieces in the New York Times, Business Week and other outlets. Her book, Locavesting: The Revolution in Local Investing And How To Profit From It, chronicles the local investing movement and explores how a small shift in investment away from multinationals towards locally-owned enterprises can reap enormous economic and social benefits for individuals, their communities and the country. Following on that work, she recently launched Locavesting.com, a media site that covers the intersection of crowdfinance and community. Named a “Top 30 Crowdfunding Thought Leader,” she is a sought after speaker and advisor.

LaVigne_PeterPeter LaVigne
Partner at Goodwin Procter

Peter LaVigne is a partner in Goodwin Procter’s Financial Institutions Group and a member of the FinTech Practice. He advises clients involved in the distribution of securities as issuer or intermediary at every level, public and private, and his expertise includes broker-dealer and securities regulation and the Municipal Advisor Rules. Peter advises banks, broker-dealers, investment advisers, private fund managers and crowdfunding and other financial technology platforms in navigating evolving regulatory and compliance matters. As the Chair of the Securities Regulation Committee of the New York State Bar Association and the Editor of Goodwin Procter’s Financial Services Weekly News Roundup, Peter keeps a close watch over changes to laws and rules affecting the financial services industry. Peter is a graduate of Cornell University and Yale Law School.

elenowitz 2Mark Elenowitz
CEO of BANQ

Mark Elenowitz, is the CEO and Founder of BANQ® (www.banq.co), a newly launched division of TriPoint Global Equities, LLC (www.tripointglobalequities.com). BANQ®, is an electronic investment banking platform that will streamline the matching of accredited investors with quality growth companies and alternative investment opportunities. BANQ® provides accredited investors access to exciting companies with exposure to rapidly growing sectors and new technologies. BANQ takes the entire public and private offering process digital and online, providing access to U.S. opportunities and offerings in the U.S. markets. BANQ ® widely markets its offerings utilizing the new general solicitation and advertising rules promulgated by the U.S. Securities & Exchange Commission, in response to the passage of the JOBS Act of 2012. Mr. Elenowitz is responsible for the overall corporate development of TriPoint and BANQ®, advising clients on structuring, financings and acquisitions. He has extensive experience in advising clients on governance, compliance, and capital markets navigation including acting as a member of the board of directors. He has worked with numerous public and private companies. Mr. Elenowitz integrates a strong, successful entrepreneurial background with extensive financial services and capital markets experience. He has assisted numerous companies in a “soup-to-nuts” process, preparing them for life as a public company and advising them on an ongoing basis as to further rounds of financing, strategic acquisitions and a broader investor base via a listing on a higher securities exchange or market. Mr. Elenowitz is also Managing Director of TriPoint Capital Advisors, LLC, a merchant banking and financial consulting affiliate of TriPoint Global Equities. He is the recipient of several entrepreneurial awards and has been profiled in BusinessWeek and CNBC, as well as several other publications. He is a graduate of the University of Maryland School of Business and Management with a B.S. in Finance. He holds Series 24, 62, 63, 79, 82 and 99 licenses.

VINCE PHOTOVincent Molinari
CEO of GATE Global Impact

Mr Vincent Molinari is a thought leader in the investment industry. Having won awards including: United Nations Global Compact 2013 Leaders Summit Delegate and The Kingonomics Emancipation of Capital Award: Emerging Markets. Mr Molinari has also become the Correspondent for Impact Investing and Crowdfunding for Clear Channel. Mr. Molinari is an active speaker on issues related to capital markets and early stage companies and has been invited to testify before the U.S. House of Representatives Committee on Financial Services, Subcommittee on Capital Markets and Government Sponsored Enterprises. In addition Mr Molinari consults Members of Congress and Senate on these issues. Mr. Molinari has been featured on CBC Lang and O’Leary Exchange and been quoted and published in a wide range of business media including the Wall Street Journal, Washington Post,Forbes, Bloomberg News, CNNTech, CSRwire, Advance Trading and Securities Technology Monitor. GATE Global Impact Inc is focused on providing an innovative impact investing marketplace in order to accelerate capital to sustainable investment opportunities. The Jobs Act was approved on September 23rd 2013 – having been an early champion for the JOBs Act, Mr Molinari and Executives officially launched GATE Global Impact, on September 19th, 2013 at the UN Global Leaders Summit Side Event. The platform provides new market infrastructure and related services for the emerging impact investment industry – public and private investments with a sustainable social and/or environmental component that also generate a healthy rate of financial return. http://www.gateglobalimpact.com.

larry chiavaroLarry Chiavaro
Principal and the Executive Vice President at First Associates

Larry Chiavaro is a Principal and the Executive Vice President at First Associates, the fastest growing loan servicer in the country with a $7 billion dollar portfolio under management for various asset classes including P2P and P2B loans. His straight-forward approach to market insights and his amicable and engaging presentation style makes Chiavaro a very popular conference speaker. Chiavaro is a dynamic sales and business development executive with an outstanding 25-year track record of identifying and developing growth financial services markets. Prior to joining First Associates Loan Servicing, Mr. Chiavaro was the top Regional Vice President with CSC’s Loan Servicing division and has similar achievements earlier in his career as the Vice President/Sales Director for Household Auto Finance/HSBC and as Regional Vice President or GE Capital, and NovaStar Mortgage. Chiavaro has strong historical ties to the rating agencies built over years of experience in the consumer finance industry, and was active in the first P2P securitization for Eaglewood Capital, CAN Capital and Blackrock’s securitization for Prosper’s loans.  Mr. Chiavaro is a graduate of the GE Management School and is a former semi-pro ice hockey player and a current HS and youth hockey coach.

Gary SpirerGary Spirer
CEO of DilogR

Gary Spirer leveraged his MBA in finance from Columbia University to become an investment banker, investor, and entrepreneur who has transacted over half a billion dollars of real estate development and syndication. Spirer has also raised over $60 million of equity—$125 million in today’s dollars—from accredited investors and small funds for emerging growth companies. Spirer is the founder of the interactive video hosting, marketing, engagement and analytics platform DilogR, which measures viewers’ opinions, insights, and answers to surveys, polls, quizzes, and segments and responds to them in real time. He is also a public speaker and author of the #1 best-selling book on Amazon – Crowdfunding: The Next Big Thing.

Andrew Rachmell Photo

Andrew Rachmell
Co-founder of peerbackers

Andrew Rachmell is co-founder and Head of Business Development for peerbackers, a service provider to accredited investors, entrepreneurs and emerging companies seeking to capitalize on opportunities in crowdfunding and alternative finance. Andrew is also Executive Producer of Crowdcast Network – a media initiative of peerbackers – which includes original programming for RegDTV, a web series profiling the most current private company stock offers available to accredited investors and Crowdfund Update, a source for understanding and staying current on the new laws affecting crowdfinance and for those who want to get the inside view from those shaping the industry.
With his 20 years spent creating programs for television and the web, Andrew is responsible for growing distribution and viewership of company content through syndication and license agreements with other prominent web sites reaching the financial and entrepreneurial community. Andrew also contributes to the development and refinement of the company’s vision and strategy, oversees the peerbackers marketing team, and regularly speaks at industry conferences and events. He also consults with ventures for the launch and management of their crowdfunding campaigns. His expertise in developing strategic alliances, sales and marketing has made him a specialist in helping more than one-third of the Fortune 1000 companies promote their image and message through innovative communication methods, sponsorships and distribution channels.

Stu headshotStu Lustman
Founder of P2PLendingExpert

Stu Lustman is a commercial finance professional and active blogger on the subject of P2P Lending in USD and in Bitcoin. Currently, he is the Credit director of a small specialty equipment finance company. In March 2013, having been introduced to Prosper.com and seeing that much of the same Credit information used on a daily basis is accessible in loan listings here, he started P2PLendingExpert.com in an attempt to show investors how a Commercial Credit professional looks at and analyzes peer loans. In Spring 2014, the blog was expanded to include investments and coverage of Bitcoin based p2p lending platforms as well. He is one of the longest running bloggers on the subject and the only one who reports returns on all personal investments in loan platforms on a monthly basis. Stu is a graduate of the University of Maryland in College Park with an MBA from Loyola College in Maryland. http://p2plendingexpert.com Twitter: @StuFinancesTech BitcoinTalk: StuP2PLending

Kara Oxford PicKara Kennedy
Executive Director of ClearTrust

Kara Kennedy is Executive Director of ClearTrust, a leading stock transfer agent representing public and private companies and community banks. Kara specializes in creating compliance solutions, helping business leaders and their shareholders navigate the increasingly complex regulatory environment. She applies over a decade of experience in the financial markets to serve companies, and also consults for transfer agents in matters related to industry best practices, development of policies and procedures, and employee training. She is an active member of the Securities Transfer Association and the Society of Corporate Secretaries & Governance Professionals. Kara graduated Summa Cum Laude from the University of South Florida with a Bachelor of Arts degree in Finance and International Business.

Mike Raneri of VenovateMichael Raneri
Founder, Chairman and CEO
Venovate Holdings

Michael Raneri is responsible for the vision, direction, and overall success of Venovate Holdings and its subsidiaries. With over 20 years of experience in executive positions with four leading online brokerage firms, he is uniquely qualified to lead the next generation of financial industry innovation. Michael holds four patents for online brokerage and email technology inventions. From his experience in the early days of online stock trading at Quick & Reilly, through his work helping to create Schwab.com, to building Zecco into a national brand, he has been at the cutting edge, using the latest technology to offer disruptive financial services.

Prescient Capital_041Jeff Joseph
CEO of The Alpha Pages

Jeff Joseph, CEO of The Alpha Pages, an investment-focused new media firm with print and digital titles including Modern Trader magazine and FINalternatives.com, the leading global hedge fund site. Jeff previously founded and lead the Alternative Investment Strategies team at Rydex Investments where he developed a groundbreaking $5B liquid alternative investment product suite. Joseph is co-managing partner of boutique venture investment firm Prescient Capital, a principal of the iSelect venture capital fund and a mentor at TechStars Chicago.

Douglas Ellenoff photo (00258956xA9C08)Douglas Ellenoff
Partner of Ellenoff Grossman & Schole LLP

Ellenoff Grossman & Schole LLP is the leading law firm serving the security crowdfunding industry. Recognized as a thought leader and expert on the nuanced legalities of the JOBS Act, Douglas S. Ellenoff has been a key representative and advocate for the industry and has actively engaged with the SEC to discuss many aspects of the proposed new law. Additionally, EG&S is working with securities professionals internationally to assist them with shaping smart legislation to foster investment crowdfunding in their jurisdictions. EG&S is actively engaged with clients in the crowdfunding industry, including funding portals, broker-dealers, technology solution providers, software developers, investors and entrepreneurs.

GeorgiaGeorgia P. Quinn , co-founder and CEO of iDisclose

Georgia P. Quinn is the co-founder and CEO of iDisclose, a new legal technology company focused on the disclosure needs of small business and startup entrepreneurs accessing capital. Quinn is also a securities attorney specializing in crowdfunding at the firm of Ellenoff, Grossman & Schole.  Quinn was recognized in 2014 as a Top Female Attorney in New York City by Thomson-Reuters. Earlier this year she was joined by other honored attorneys in a special section of “Super Lawyers” featured in the New York Times. She is on the advisory board for the American Banker Lending and Investing Conference and NextGeneration Startups, an online resource for young entrepreneurs. Wealthforge, an early entrant in the crowdfunding space, has called Quinn one of the top influencers in the private placement industry. Quinn is a senior contributor to Crowdfund Insider, an online crowdfunding publication. Ms. Quinn advises on crowdfunding and marketplace lending matters and has presented to the Securities and Exchange Commission, Congressional staff-members, leaders of US and UK crowdfunding portals and peer-to-peer lending platforms, the American Bar Association, the American Banker P2P Conference, the Council of Development Finance Agencies, the Canadian Equity Crowdfunding Alliance, the New York State Bar Association, and the Small Business Administration. Ms. Quinn received a Juris Doctor from Columbia Law School, and received a Bachelor of Fine Arts from New York University.

Howard LeonhardtHoward Leonhardt
Chairman of The California Stock Xchange

Howard Leonhardt is an inventor and serial entrepreneur. He has 21+ U.S. patents for products for treating cardiovascular disease. He has founded over 30 startups. His TALENT stent graft developed in the early 1990′s holds a leading world market share for repairing aortic aneurysms without surgery. His inventions have treated over 250,000 patients in 60 countries. In early 1999 Leonhardt founded Bioheart, Inc. http://www.bioheartinc.com a leader in applying adult muscle stem cells to treat heart failure. Leonhardt holds a Diploma in International Trade from Anoka Technical College. He attended the University of Minnesota and Anoka Ramsey College. He holds an honorary Doctorate in Biomedical Engineering from the University of Northern California and is an honorary alumnus of the University of Florida and Florida International University. He is co-leader of Startup California and Founder and Chairman of The California Stock Xchange (Cal-X) preparing to be the first social good impact stock exchange and DPO listing service in the USA – http://www.calstockexchange.com – working through multiple partnerships. He founded the Entrepreneurship Party Public Policy Institute in 2006 and serves as its Chairman http://www.entrepreneurshipparty.com. He founded Cal-X Crowdfund Connect http://www.calxcrowdfund.com and Cal-X Stars Business Accelerator, Inc. http://www.calxstars.com a business incubator and accelerator focused on cardiovascular life sciences and social good impact innovations. His Leonhardt Ventures angels network has raised and put to work over $145 million in 30+ innovative startups to date, most of them founded by Leonhardt. BioLeonhardt MyoStim http://www.bioleonhardt.com + http://www.myostimpacers.com is developing the first implantable programmable and re-fillable stem cell pump based on Leonhardt patents. Leonhardt serves as state spokesperson in California for the JOBS ACT and Crowdfunding for Startup California and has given over 40 speeches on the subject. He has signed a contract via Go Go Luckey Productions to co-host the upcoming CNBC TV Series CrowdFund. He serves as Executive Chairman of The Kindheart Lionheart TV Network http://www.kindheartlionhearttv.com. He is testing the waters to be a 2018 candidate for Lt. Governor of California – http://howardleonhardt.nationbuilder.com/blog. He serves on boards of The Cell Therapy Foundation, UCLA, USC, U of Minnesota, U of Florida and U of Northern California and other charitable organizations. His Leonhardt Vineyards http://www.leonhardtvineyards.com winery founded in 2000 currently operated with his son Ryan in Sonoma County, California is a leading producer of California wines sold primarily through Trader Joe’s

Dan_HeadshotDan Miller
President of Fundrise

Dan Miller is Co-Founder and President of Fundrise, the first and leading real estate crowdfunding platform. The first company to successfully crowdfund real estate, Fundrise brings world-class real estate investments to institutional, high net worth and retail investors throughout the United States. Founded in 2010 by Dan and his brother Ben Miller, Fundrise has brought real estate crowdfunding to the mainstream, allowing anyone—accredited and unaccredited—to invest in property for as little as $100 per share, and as much as $10 million, and earn favorable returns (historically 12 to 14 percent).  At Fundrise, Dan is responsible for exploring and opening up new markets and vetting real estate projects. Dan also speaks across the country as one of the leading authorities on real estate crowdfunding. Dan is quickly becoming a key player to watch in the real estate industry. Dan was named a “2013 Curbed Young Gun”, a prestigious title given to a select group of upand-coming talents in urban development, interior design, and architecture. Daniel is also Co-Founder of Popularise, a real estate crowdsourcing website, and Managing Partner of WestMill Capital Partners, a Washington D.C. based real estate development company. Daniel remains involved with Western Development Corporation, his family’s real estate company, which has developed more than 20 million square feet in its 46-year history. Daniel graduated from The Wharton School of the University of Pennsylvania as a submatriculant with a dual B.S. and M.B.A.

AllenShayanfekr-Sharesates-HeadshotAllen Shayanfekr
CEO of Sharestates

Allen Shayanfekr is the CEO of Sharestates.com. He is currently admitted to practice law in law in NY and CT. His legal expertise in securities law is paramount to Sharestates’ ability to promote and produce public and private offerings in a highly regulated space. Allen interacts regularly with the Securities and Exchange Commission, in addition to spearheading daily operations at Sharestates. Prior to launching Sharestates, Allen joined the Atlantis organization as their National Title Producer and Account Executive, holding approximately 28 Producer’s Licenses across the Country. Allen received his J.D. Magna Cum Laude from Touro Law Center where he graduated in the top 6% of his class and his B.A. in Political Science from New York University. Follow Allen on Twitter @allenshayanfekr

Cromwell in front of orange painting OTC_01R. Cromwell Coulson
President, Chief Executive Officer and Director
OTC Markets Group Inc.

R. Cromwell Coulson is President, Chief Executive Officer and a Director of OTC Markets Group, Inc. (OTCQX: OTCM), which operates financial marketplaces for 10,000 U.S. and global securities. Over the past two decades, Cromwell has transformed this previously opaque and inefficient phone-based marked into fully modern, electronic and transparent financial marketplaces. Today, OTC Markets Group operates three marketplaces that organize securities based on the quality and quantity of disclosure they provide to investors – OTCQX®, The Best Marketplace for established, investor-focused U.S. and international companies; OTCQB®, The Venture Marketplace for entrepreneurial and development stage companies; and OTC Pink®, The Open Marketplace for brokers to trade all types of securities. The 10,000 U.S. and global securities traded on these marketplaces include: 3,100+ American Depositary Receipts (ADRs) and foreign ordinary shares of global exchange-traded companies like Roche Holding AG, adidas AG and Volkswagen AG; large-cap distressed companies such as Fannie Mae and Freddie Mac; 650+ community and regional banks; 2,500+ SEC reporting companies; 1,400+ large- and mid-cap companies; and 2,000+ smaller and growth companies. OTC Link® ATS, OTC Markets Group’s FINRA regulated and SEC registered Alternative Trading System, directly links a diverse network of leading U.S. broker-dealers that provide liquidity and execution services. OTC Markets Group sets the best price standard for OTCQX, OTCQB and OTC Pink securities by broadly distributing its market data to major market data redistributors, including Bloomberg and Thomson Reuters. Cromwell is a strong advocate of improving access to capital for small companies and trading transparency. He has testified before Congress and spoken on these and other issues at numerous industry conferences. He also supports diverse choice and competition among trading venues that leverage the power of networks to efficiently connect consumers and suppliers of liquidity. Prior to OTC Markets Group, Cromwell was an institutional trader and portfolio manager specializing in distressed and value-oriented investments at Carr Securities Corporation, an institutional broker-dealer. He received a Bachelor of Business Administration from Southern Methodist University in Dallas and graduated from the Owner/President Management Program at Harvard Business School. OTC Link ATS is operated by OTC Link LLC, a FINRA/SIPC member and wholly-owned subsidiary of OTC Markets Group.

OLYMPUS DIGITAL CAMERABlaine McLaughlin
Vice President of Business Development for Folio Institutional

Blaine McLaughlin is Vice President of Business Development for Folio Institutional, a leading investment solutions and financial technology company. Folio offers an integrated brokerage and custodial platform featuring patented, state-of-the-art trading, portfolio management tools, and private placement capabilities. Under Blaine’s leadership, Folio has developed the first ever private placements offering that delivers transparency and control for investors, intermediaries, and issuers alike. Blaine is also developing additional offerings that will support a vibrant secondary marketplace for private securities.


Korn_Brian_headshotBrian Korn
Partner at Manatt, Phelps & Phillips

Brian Korn is a Capital Markets Partner at the law firm Manatt, Phelps & Phillips, LLP in New York City. Brian has had multiple appearances on Fox Business Television, Bloomberg, CCTV America and National Public Radio as an expert on the JOBS Act, including its impact on crowdfunding, peer-to-peer lending, IPOs and market trading dynamics. He was also published or quoted in Forbes, CNBC, MSNBC, New York Law Journal, Law360, Philadelphia Inquirer, Pittsburgh Post-Gazette, The Financier Worldwide and The Review of Securities & Commodities Regulation. He is the author of several articles on capital raising and investor liquidity, and has several clients in the peer-to-peer lending space. Brian is the author of “The Trouble with Crowdfunding” published in Forbes, as well as the Forbes article announcing the SEC’s crowdfunding rules proposal. Prior to joining Manatt, Brian was co-Head of the Crowdfunding and Peer-to-Peer Lending Practice at Pepper Hamilton LLP, Head of Equity Capital Markets and Syndicate Compliance at Barclays and Senior Vice President and Assistant General Counsel for Citigroup Global Markets Inc. Brian is an honors graduate of the University of California at Berkeley and the Northwestern University School of Law.

Mat Dellorso HeadshotMat Dellorso
CEO of WealthForge

Mat is the Founder & CEO of WealthForge a firm that provides market infrastructure to enable online investments into private companies. WealthForge provides the technology and oversight needed to complete private investment transactions within SEC regulations through its wholly-owned broker-dealer and technology subsidiaries. Mat has been working on crowdfund investing as a member of the Financial Industry Regulatory Authority (FINRA) since 2009 holding the Series 7, 24, 63 & 79 licenses. Mat was a contributing author to the book The CrowdFunding Revolution and has spent hundreds of hours of time working with FINRA and the SEC on establishing regulations for the industry. Mat is a graduate of the University of Richmond having received Bachelor’s Degrees in Finance and Information Technology.

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Gene Massey
CEO of MediaShares

Gene Massey is the CEO of MediaShares and its subsidiary, QwikShares, companies offering innovative marketing solutions for CrowdFinanced Online stock offerings. 

MediaShares’ methodology helps companies with online users, customers, and affinity groups raise capital by selling their shares directly to their massive online communities. Using MediaShares’ system and software in a typical (SEC registered) public stock offering, both the stock issuer and its FINRA broker have direct contact with their massive online community of shareholders. Previously, Gene owned and operated a Los Angeles advertising and marketing company, and was best known for working with Ely Callaway, Chairman of Callaway Golf, creating the broadcast television campaign that introduced and promoted the “Big Bertha” line of golf clubs.

image018Steve Sadler
CEO of Allegiancy

Innovation, integrity, and allegiance to property owners are hallmarks of Allegiancy and its founder, Steve Sadler. Allegiancy is a commercial real estate asset manager focused on growth in secondary markets. The company has made a name for itself by resurrecting troubled properties without a massive capital infusion from their owners. Leading that charge has been Allegiancy CEO Steve Sadler. Central to Allegiancy’s own growth strategy has been using innovative means to raise capital. In 2014, the company used the SEC’s old Regulation A rules to raise $5 million. With its pioneering plans featured in the Wall Street Journal . http://www.wsj.com/articles/small-firms-aim-to-raise-capital-more-easily-under-new-rules-1434562793, Sadler’s career has focused on the capital markets. He has worked for well-known regional financial institutions around the country, including Wells Fargo. Sadler has managed public market securities and private placement transactions valued at more than $1 billion on behalf of TIAA-CREF, Mutual of Omaha, CS First Boston, and many others. Sadler graduated from Florida State University with a bachelor’s degree in East Asian Studies and Economics, and he holds the Chartered Financial Analyst (CFA) designation.
image020Steven Dresner
CEO of Dealflow

Steven is founder and chief executive officer of Dealflow Analytics and is responsible for corporate strategy relating to Dealflow.com. Prior to founding Dealflow Analytics, Steven was founder and chief executive officer of DealFlow Media (acquired by TheStreet Inc. NASDAQ: TST). Steven was also an investment banker with Ladenburg Thalmann & Co. and was founder and chief executive officer of VCOM Corporation (acquired by Utility.com). Steven’s experience includes managing businesses in the areas of software development, data networking, financial databases, and media. Steven has a BS in psychology from George Washington University and both an MBA in finance and a graduate degree in computer communications and networks from the Lubin School of Business at Pace University. Steven is co-author and editor of six books including “PIPEs: A Guide to Private Investments in Public Equity” and “The Issuer’s Guide to PIPEs” (Bloomberg Press), and is a contributor to “Reverse Mergers: Taking A Company Public Without An IPO” (Bloomberg Press). He just completed his latest book, “Crowdfunding: The Definitive Guide to Raising Capital on the Internet,” published by John Wiley & Sons in April 2014. Steven is also an active private pilot.

image022Sara Hanks
CEO of CrowdCheck

Sara Hanks, co-founder and CEO of CrowdCheck, is an attorney with over 30 years of experience in the corporate and securities field. CrowdCheck provides compliance and due diligence services for online securities offerings, helping entrepreneurs through the disclosure and due diligence process and giving investors the information they need to make an informed investment decision and avoid fraud. Sara’s prior position was General Counsel of the Congressional Oversight Panel, the overseer of the Troubled Asset Relief Program (TARP). Prior to that, Sara spent many years as a partner of Clifford Chance, one of the world’s largest law firms.  While at Clifford Chance, she advised on capital markets transactions and corporate matters for companies throughout the world.  Sara began her career with the London law firm Norton Rose. She later joined the Securities and Exchange Commission and as Chief of the Office of International Corporate Finance led the team drafting regulations that put into place a new generation of rules governing the capital-raising process. Sara received her law degree from Oxford University and is a member of the New York and DC bars and a Solicitor of the Supreme Court of England and Wales. She holds a Series 65 securities license as a registered investment advisor. Sara is an aunt, Army wife, skier, cyclist, gardener and animal lover.

AustinAustin Pantaleo, Product Manager for Peerbackers

Austin Pantaleo is a Product Manager for Peerbackers (Peerbackers.com), a service provider to accredited investors, entrepreneurs and emerging companies seeking to capitalize on opportunities in crowdfunding and alternative finance. Austin is also the founder of Austin Ventures (AustinVentures.co), a consultancy and investment company specializing in research, strategic planning, branding, and experience design for small businesses. Prior to Austin Ventures, he led research at the Australian Centre for Family Business and was a portfolio manager for a real estate development group in South Florida. He is passionate about entrepreneurship and a managing partner of Startup Palm Beach (StartupPB.com), an events organization on a mission to educate, connect, and showcase the entrepreneur ecosystem. Austin obtained a Bachelor’s degree in Finance & Banking from Appalachian State University and an MBA from Bond University, where he graduated summa cum laude.

image024Chris Tyrrell
CEO of OfferBoard

Chris Tyrrell has more than 15 years of experience in entrepreneurship, financial law, technology and capital markets, having managed and founded two private technology companies and been involved in over $20 billion of financing transactions. As an attorney, he specialized in asset-based finance at the Wall Street law firm of Cadwalader, Wickersham & Taft. Before joining OfferBoard, Chris managed a multimillion dollar family office. Chris is also chairman of CFIRA, the leading advocacy organization for small securities innovators in the U.S.

image034Gerard DiFiore
Partner at Reed Smith

Gerry has been a partner at Reed Smith since 1998 and is currently the Chairman of the firm’s Securities Review Committee and Deputy Chair of the Emerging Company/Global Venture Practice. Previously he spent three years as firmwide chair of the firm’s Corporate & Securities Group.  Gerry started his legal career at the US Securities & Exchange Commission in Washington, DC.  Gerry brings 30 years of experience to each new engagement, focusing his practice on public and private securities offerings, mergers and acquisitions, joint ventures, corporate governance, corporate compliance and corporate transactional matters. He routinely works with senior management and private equity firms and their portfolio companies in reaching strategic goals, assisting companies in all stages of the growth cycle, from early stage private companies to mature publicly traded companies.   Gerry splits his time between Hong Kong and New York, handling domestic and cross border transactions in many industries including emerging technology, manufacturing & distribution, food and beverage, energy, life sciences, real estate and consumer products. During his career, he has handled capital markets and M&A matters having an aggregate transaction value in excess of $20 billion.   Clients frequently praise Gerry’s unique ability to “think like a CEO/CFO” as the key differentiator that separates him from other lawyers. He examines companies through the lens of a C-suite executive and combines his 30 years of corporate legal knowledge and experience to identify risk – without magnifying risk – to devise creative and effective solutions that enable clients to achieve strategic goals. This insight and experience enables Gerry to successfully counsel businesses through all stages of their growth.

Darren MAcDonaldDarren MacDonald
CEO of Ingress Capital

Darren founded Ingress Capital to make it easier for early-stage companies to connect with value-added investors. Prior to founding Ingress, Darren was Chief Executive Officer of the Pronto Network (an IAC portfolio company). As CEO, Darren grew Pronto’s consumer shopping marketplaces to over 20 million monthly users across five markets in the US, Europe, and Asia, and record profitability. Prior to Pronto, Darren held senior operating roles at Avery Dennison, and the Sequoia-backed technology company EMN8. Darren is a founding Board Member of Venture for America, a non-profit whose mission is to revitalize American cities and communities through entrepreneurship. Darren holds an MBA from UCLA, with a focus on Entrepreneurial Finance, and a BA in Rhetoric from UC Berkeley.

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James A. Jones
CEO of the IRA Exchange

James A. Jones is the CEO and Founder of the IRA Exchange and Self-Directed IRA Investment Institute. Invited to the White House Crowd funding Champions of Change, he is a nationally recognized Self-Directed IRA speaker, author and educator and Certified IRA Services Professional. Mr. Jones is a regularly featured speaker at Crowdfunding Industry Association events and presents on industry record attending webinars with Morningstar and Key Partners on truly diversifying retirement plans though alternative assets in IRA’s and Solo 401K’s. James A. Jones works directly with IRA holders, as well as Crowd funding portals, Broker Dealers, Hedge Fund Managers, Tax Attorneys, CPA’s, Registered Investment Advisers, Family Offices and Real Estate firms and associations. He is the author of the series “Retire Richer” with “Self-Directing Your Retirement”, “Self-Directed IRA Workbook”, the Industry’s first practical step-by-step guide in the process of investing in self-directed IRA’s, and “Self-Directed IRA – Prohibited Transactions”. Having spent over 20 years in financial services working for firms such as Merrill Lynch and Wells Fargo, Mr. Jones has Series 65, 7, 63, insurance and mortgage licenses as well as a graduate degree in Finance from Harvard University. James serves as the Co-Chair of the Investor Committee of the Crowd funding Intermediary Regulatory Advocates (CFIRA), the Board of Advisors for CROWD and is a Founding Member of the Crowd funding Professional Association.

Candace

Candace Klein
Chief Strategy Officer at DealStruck

Candace Klein is an owner and Chief Strategy Officer at Dealstruck, Inc., a technology driven direct lender, providing term loans and lines of credit to small businesses across the United States. Candace is also an attorney with experience as a small business owner herself. Candace was founder and CEO of Bad Girl Ventures and SoMoLend, and led the drafting and follow-on regulations of the JOBS Act. She received her BA from Northern Kentucky University and her JD from the Salmon P. Chase College of Law. She continues to serve as General Counsel for Women Investing in Women, a global NGO focused on increasing access to capital for female entrepreneurs and access to capital markets for female investors.

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Dara Albright
Founder of Dara Albright Events, Co-founder of FinFair

Dara Albright is a recognized authority, thought provoker and frequent speaker on topics relating to market structure, private secondary transactions, next-gen IPOs, P2P and crowdfinance. Albright has held a distinguished 22 year career in IPO execution, investment banking, corporate communications, financial marketing as well as institutional and retail sales. She is a visionary who continues to introduce rising asset classes and crowd-structured financial products to the Wall Street community. Through her NowStreet blog, Albright was one of the earliest voices covering the JOBS Act and advocating for greater democracy in the equity and credit markets. She produced the very first crowdfunding conference in January 2012 which was headlined by key JOBS Act architects: Congressman Patrick McHenry and Dave Weild. That event helped birth the crowdfinance movement and led to the founding of the industry’s trade and leadership organizations. In 2013, she co-founded LendIt, the largest and most recognized global p2p & online lending conference organization. In 2015, she co-founded FinFair, the first conference platform to feature the leadership, products and technologies driving the crowd-centric retail alternatives market. Some of the most prominent figures in the financial industry as well as the legislature continue to participate in Albright’s events. Her leading-edge articles that have helped shape the direction of the crowdfinance industry can be found on Equities.com, Crowdfund Insider, Seeking Alpha, Investing.com and Business Insider. She has been featured in Forbes, ABA Banking Journal, Thestreet.com, Private Wealth Magazine as well as in a number of leading industry trade publications. Albright continues to help issuers, investors as well as financial service providers across the globe capitalize during this unprecedented period of financial industry disruption and regulatory reform. Prior firms she worked for include: Unterberg Towbin, Morgan Stanley Dean Witter, Divine Capital and Citigate Dewe Rogerson. Albright is a proud board member of SparkMarket, the nation’s first bona fide crowdfunding portal allowing unaccredited investors to legally crowdfund via intrastate exemption. She is a graduate of the George Washington University and holds securities industry Series 7, 24, 31 and 63 licenses.


JPigott-headshotJohn Pigott, CEO of ABE (“A Better Exchange”)

John has built financial tech companies on 3 continents, including BondPoint, which currently handles 28% of all retail bond investing in the U.S. A lawyer by training, John has lectured and led workshops in market structure at Beijing University, INSEAD, and several business schools.