Luminaries Who Contributed to the Program:
EUGENE F. MALONEY is executive vice president and corporate counsel of Federated Investors. Since joining the company in 1972, he has provided legal, regulatory and management counsel to Federated sales divisions. His expertise includes regulatory and legal requirements relating to the use of mutual funds in banks, wealth management, broker-dealer, retirement and investment advisor environments.
BRADFORD P. CAMPBELL is the former assistant secretary of labor for Employee Benefits and head of the Employee Benefits Security Administration, the primary federal regulatory and enforcement agency for ERISA's fiduciary, prohibited transaction, and reporting and disclosure requirements. As an attorney in private practice, Brad advises financial service providers and plan sponsors across a broad range of ERISA plan-related issues and is a frequent keynote speaker at business, professional and trade association events. He has testified extensively on employee benefits issues before Congress, and has been named one of the "100 Most Influential in Defined Contribution" by 401kWire.
ROBERT H. SITKOFF is the John L. Gray Professor of Law at Harvard Law School. He is a leading authority on wills, trusts, and fiduciary administration. His teaching and research focuses on economic and empirical analysis of the law of trusts and fiduciary administration. His work has been published in the Yale Law Journal, Stanford Law Review, and other leading scholarly journals, and has been featured in the Wall Street Journal, New York Times, and media outlets. Professor Sitkoff serves as an advisory consultant and expert witness in litigation and regulatory matters involving trusts and fiduciary administration.
WILLIAM CAMPBELL RIES is co-chair of the Investment Management and Fiduciary Services Practice Group at Tucker Arensberg P.C. The group provides one-stop shopping for wealth managers, investment advisors, brokers, banks, mutual funds and insurance companies on matters involving complex statutory and regulatory issues, risk management, fiduciary issues, and compliance matters. Bill serves as an expert witness in matters involving the duties and responsibilities of fiduciaries. He also serves as chair of the decedents estates advisory committee of the Pennsylvania Joint State Government Commission, which advises the Pennsylvania legislature on fiduciary issues. Bill also teaches securities law and estate planning at Duquesne University School of Law and is a frequent speaker and lecturer on fiduciary issues.
NORA GIEG CHATHA is co-chair of the Investment Management and Fiduciary Services and Estates and Trusts Practice Groups at Tucker Arensberg P.C., where she represents wealth managers, fiduciaries, healthcare providers and individuals in all areas of estate planning and wealth preservation. She also represents clients in fiduciary administration, compliance and litigation, including defending breach of duty actions and individual expert witness support. Past experience as legal counsel with the Pennsylvania State Medicaid Agency and the Department of Public Welfare (now Human Services), and knowledge of Orphans Court practice and fiduciary duties allows Nora to provide comprehensive representation to clients in a variety of complex situations.
CAROLYN A.W. WHITWORTH is a member of the Investment Management and Fiduciary Services Practice Group and the Estates and Trusts Practice Group at Tucker Arensberg P.C. Carolyn represents individuals, banks, investment advisors, brokers, mutual funds, and individual and corporate fiduciaries on matters involving fiduciary compliance, Prudent Investor Rule compliance, statutory and regulatory issues, banking compliance, risk management, estate planning and administration, uniform trust code matters, business succession planning, and trust planning for retirement assets.
JO-ANNE MINEWEASER is a senior counsel with Tucker Arensberg P.C. working primarily in employee benefits. She designs and drafts health and welfare and fringe benefit plans; qualified retirement plans for companies, non-profits and government entities; nonqualified deferred compensation plans including executive compensation programs; and stock option and phantom stock plans. Jo-Anne also counsels clients on the administration and operation of all types of employee benefit plans; investment management and administrative services agreements; the benefit implications of mergers and acquisitions; and meeting fiduciary responsibilities under ERISA.
GEORGE H. WALPER, JR. is president of Spectrem Group, where his emphasis is product development, marketing, sales and client service. Spectrem Group is the premier consulting and market research firm covering the wealth management and retirement industries; it strategically analyzes ongoing primary research with investors to assist financial providers and advisors in understanding the voice of the investor. George speaks frequently at client advisor events and at industry events including SIFMA, FA Magazine and many state banking associations. George has appeared as a guest on CNBC, Fox Business, Bloomberg Business, CBS radio and ABC Radio.
CATHERINE S. MCBREEN is managing director of Spectrem Group, where her emphasis is on implementing internet strategies, designing distribution strategies, and helping clients enter new markets and form strategic alliances. Spectrem Group is the premier consulting and market research firm covering the wealth management and retirement industries; it strategically analyzes ongoing primary research with investors to assist financial providers and advisors in understanding the voice of the investor. Catherine is a frequent speaker at industry conferences including the Private Asset Management, Institutional Investor Wealth Management Forum and Financial Advisor Magazine's Annual Financial Advisor Symposiums. She has appeared on CNBC, Fox Business, and multiple local market television and radio shows.
MELANIE L. FEIN advises financial institutions on banking and securities law, focusing on fiduciary duties, conflicts of interest and the investment of fiduciary assets. She began her career as an attorney and senior counsel to the Board of Governors of the Federal Reserve System and later was a partner at Goodwin Procter LLP and Arnold & Porter. She has served on the adjunct faculty of Yale Law School, Boston University School of Law, and Catholic University's Columbus School of Law. Melanie is the author of Federal Bank Holding Company Law, Securities Activities of Banks, and Mutual Fund Activities of Banks.
DONALD J. MYERS is a former partner in the Morgan Lewis Employee Benefits and Executive Compensation Practice, where he focused his practice on the fiduciary responsibility provisions of ERISA. As former counsel for ERISA Regulation and Interpretation at the U.S. Department of Labor and, before that, assistant chief of the office of disclosure policy at the Securities and Exchange Commission, he is familiar with government practices and procedures and regularly represented clients before government agencies like the Department of Labor, the Pension Benefit Guaranty Corporation, the Internal Revenue Service, and Securities and Exchange Commission, as well as federal and state banking regulators.
MICHAEL B. RICHMAN is a partner at Morgan Lewis, where he counsels clients on the fiduciary responsibility rules under ERISA, including the prohibited transaction rules. He advises plan sponsors on investment matters for defined benefit and defined contribution plans, and also counsels banks, investment advisor firms, and broker/dealer firms on compliance for ERISA plan separately-managed accounts, collective investment funds, private funds, and other arrangements. Michael provides guidance to IRA custodians on permissible IRA investments and investment restrictions, and advises clients on fiduciary governance of ERISA plans, and on prohibited transaction and fiduciary responsibility issues in proposed transactions and transactions under government investigation.
ANN SCHLECK is a retirement industry consultant with more than 30 years of experience, specializing in practice management solutions and training for financial advisors and growth strategies for service providers and investment managers. Before founding Ann Schleck & Co. in 2001 she was a national practice leader and partner at Deloitte. Ann has been ranked by 401kwire.com as 15th among the "100 most influential people in defined contribution" and named a top-rated consultant by Global Investor. She is a frequent speaker at industry conferences.
SUE KELLEY is vice president, retirement account manager at Federated Investors, where she consults with RIAs on building and managing their practices, investment platforms and portfolios. Sue comes to the job from practice management consultancy Ann Schleck & Co., where she was managing director in charge of institutional sales and client relationships, consulting with clients to define their strategic marketing, sales and client service needs and goals, then developing solutions to meet them. Sue, who has a B.A. from University of Minnesota and an M.B.A. from University of St. Thomas, has more than 20 years of client service management and professional sales experience with Securian and Procter & Gamble.