NIBA August 17-19, 2011 Boston, MA Conference
The Omni Parker House Boston Hotel
and Company Video Presentations
Are Now Up in the NIBA Virtual Data Room
NIBA Boston 2011 Agenda Now Available – Click Here!
(Agenda revised 4:41pm 8/17/2011)
NIBA Boston 2011 Morning and Luncheon Panel Discussions
Are Now Up On NIBA’s NIBAVideo YouTube Channel
and on the NIBA Blog.
NIBA Boston 2011 Conference Photo Gallery
NIBA Boston, MA 2011 Presenting Companies
If you want to contact a company, please follow the guidelines of NIBA’s Ethical Policy and ONLY do so through listed contacts. All licensed persons may click here and view all company General Session presentations in the NIBA V-Room. NIBA V-Room users must register to view the detailed presenting company information.
James Hock, NIBA Co-Chairman James Hock at jhockhanovercapcorp@yahoo.com |
Emily Foshee, NIBA Executive Director Emily Foshee at emily@nibanet.org |
Advaxis Incorporated Sheldon Kraft at skraft@snnwire.com |
Alexandria Minerals Corporation Sheldon Kraft at skraft@snnwire.com |
Andover Ventures, Inc. Robert Blankstein at rblankstein@telus.net |
| Bill the Butcher John Exley at JRE@AcornManagementPartners.com |
Boston Therapeutics Fred Newcomb at fnewcomb@newcombandco.com |
CBS Capital Ventures, Inc. Michael Fugler at mrfugler@aol.com |
Galectin Therapeutics William Jordan at wjordan@eknstock.com |
ICVRX James E. Hock at jhockhanovercapcorp@yahoo.com |
Implant Sciences Corporation Carlo Corzine at ccorzine@buckmanbuckman.com |
Internal Fixation Systems, Inc. Sheldon Kraft at skraft@snnwire.com |
Methes Energies International, Inc. Sheldon Kraft at skraft@snnwire.com |
Teletienda Network, Inc. James E. Hock at jhockhanovercapcorp@yahoo.com |
UFood Restaurant Group, Inc. George Naddaff at naddaff@ufoodgrill.com |
Xtreme Green Products, Inc. Keith Boyd at kboyd@portagemarketadvisors.com |
BioDrain Medical, Inc., Contact: Bob Giordano at rgiordano@eknstock.com.
Citadel Exploration, Inc., Contact: Gary E. Bryant at gbryant@grandecom.net.
Native American Energy Group, Inc., Contact: Frank Hart at ldowd@highcapus.com.
ProUroCare Medical, Inc., Contact: John D. Lane at jdlanelcm@gmail.com.
Silver Horn Mining, Contact: Michael Fugler at mrfugler@aol.com.
Vanguard Energy Corporation, Contact: Trent Davis at tdavis@plccpdx.com.
Panel Discussions
Thursday Morning Panel 8:30am – 9:30am
Topic – Regulation: Can’t Do Business With It, Can’t Do Business Without It
The Financial Industry Regulatory Authority and the Self-Regulatory Process, a Small Firm Primer
- Is anybody listening? The FINRA Member Relations Department, Purpose and Scope.
- Some self in self-regulation. Small Firm Governors, Small Firm Advisory Board (“SFAB”), District Committees and other advisory committees: Who they are, what they do and how to become involved.
- Can they do that to me? Adjudication: The Office of Hearing Officers, The National Adjudicatory Council.
- That’s just not fair: The Office of the Ombudsman.
Moderator:
Tina Maloney
Chairman, Winslow, Evans & Crocker, Inc.
FINRA SFAB Representative
Tina B. Maloney is the chairman and majority owner of Winslow, Evans & Crocker, Inc. (“Winslow”), a dually licensed full-service Broker/Dealer and SEC Registered Investment Advisor headquartered in Boston, Massachusetts. Ms. Maloney manages the financial operations and compliance areas of the firm. Since joining Winslow in January 1994, Ms. Maloney has served the firm in the capacities of Chief Financial Officer, President, and Chief Operating Officer.
Ms. Maloney’s career in the securities industry began in 1979. Her experience in management, sales, compliance and administration includes work for both small and large firms, namely Winslow, Merrill Lynch, Lawrence Energy Associates, Putnam Financial Services, Dean Witter, Moseley, Hallgarten, Estabrook & Weeden, and Drexel Burnham Lambert.
Ms. Maloney is a General Securities Principal, Financial Operations Principal, and a Registered Investment Advisor Representative (Series 24, 27, 7, 63, 65). She is the elected North Region Representative on the FINRA Small Firm Advisory Board, member 2006-2010 FINRA District 11 Committee, Committee Chair 2009-2010, FINRA 2009-2010 Advisory Council member, and has served on FINRA disciplinary hearing panels. She attended Suffolk and Northeastern Universities in Boston.
Panelists:
Chip Jones
Senior Vice President
Financial Industry Regulatory Authority
Member Relations
Chip Jones is the Senior Vice President of Member Relations for FINRA. In leading the Member Relations Department, Mr. Jones’ responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. In addition, Mr. Jones also oversees the FINRA Compliance Resource Partner Program, where FINRA partners with companies that offer compliance-related products and services to regulated firms at negotiated discounts. Previously, he was State Liaison for NASD, supervising and coordinating major policy projects and initiatives between NASD, NASAA and state securities regulators. Additionally, he oversaw liaison initiatives for NASD Registration and Disclosure related to all external users of the Web CRD and IARD systems and oversaw management for NASD’s Gateway Call Center. Prior to joining NASD, Mr. Jones was Vice President of Regulatory and Industry Affairs at American Express Financial Advisors (AEFA). In this position, he worked on securities compliance, regulatory and legislative initiatives. Previous to AEFA, he spent two years as Advocacy Administrator for the Association for Investment Management and Research (AIMR). Mr. Jones was employed by the Virginia Securities Division as a Senior Examiner/Investigator for over six years prior to joining AIMR. He received an MBA and a B.S. in Business Management from Radford University in Radford, Virginia.
Ken Norensberg
FINRA Small Firm Governor
Joe Romano
President, Romano Brothers
FINRA SFAB Representative
Joe Romano is President of Romano Brothers & Co., a dually registered RIA/BD managing $1 billion in client assets and founded by his father Richard in 1962. In addition to administering the firm, Joe acts as a portfolio manager creating customized portfolios for private clients using individual stocks and bonds. He served for several years until 2007 as the firms Chief Compliance Officer (CCO).
Joe has served as President of the Illinois Securities Industry Association and currently serves on the FINRA District 8 (Midwest) Committee since 2009, and the Small Firm Advisory Board since 2011. He graduated with Honors in Economics from Wesleyan University, Middletown, CT in 1992.
Thursday Luncheon Panel 1:00pm – 2:00pm
Topic – Understanding the Ever Changing Landscape of Private Placements
- The new Rules coming down from FINRA relating to Private Placements.
- AML’s relating to Private Placements and Third Party Due Diligence as it is related to private placements (very hot area).
- Sales of 144 stock (Stock Certificates).
- Pending Fiduciary Standard and how it impacts the ability to distribute Private Placements.
Panelists:
Ken Norensberg
FINRA Small Firm Governor
Stephen B. Wexler, Esq.
Stephen B. Wexler’s Bio
Ian J. Frimet, Esq.
Ian J. Frimet’s Bio
Corporate Sponsorships Are Available
NIBA provides a robust, highly interactive environment for business development opportunities. If you have interest in marketing your services to decision-making executives from investment banking firms, venture capital firms, private equity groups, institutional funds, and public and private companies, you may want to consider one of NIBA’s sponsorship opportunities.
Contact NIBA
| National Investment Banking Association P.O. Box 6625 Athens, GA 30604 Tel: (706) 208-9620 Fax: (706) 993-3342 Email: emily@nibanet.org |
Press Release Emily Foshee, Executive Director National Investment Banking Association Tel: (706) 208-9620 Fax: (706) 993-3342 Email: emily@nibanet.org |
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