Ad Review Workshop: Part 1

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Connecticut MCLE
Accreditation Info

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About This Course

This dynamic, highly interactive CLE course will offer attendees the opportunity to apply FINRA advertising rules to several mock advertisements and uncover the hidden concerns. Attendees will work in small groups and present their conclusions to the larger forum with moderators presenting the regulatory perspective, and clarifying misperceptions.

Lecturer Bios

Anthony T. Maher, Esq.

Anthony T. Maher is a manager in FINRA’s Advertising Regulation Department. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. His chief responsibility is managing staff members dedicated to the routine review of member advertisements.

Mr. Maher also speaks at FINRA conferences and events, especially the Department’s Advertising Regulation Conference, where he conducts a highly interactive educational “hands-on” advertising review workshop. Prior to joining FINRA in 1995, he was a registered principal and a compliance analyst for a broker-dealer subsidiary of a life insurance company. Mr. Maher holds a J.D. from George Mason University Antonin Scalia Law School, a master’s degree from Georgetown University and a bachelor’s degree from George Mason University.

Timothy P. Holland, Esq.

Timothy P. Holland is a manager in the FINRA Advertising Regulation Department, and assists in supervising the activity of a group of analysts that reviews sales communications filed by member firms. Mr. Holland joined the Advertising Regulation Department in 2004.

He also worked in the CRD/Public Disclosure Department of NASD from 1996 to 2000. Mr. Holland has bachelor’s degrees from the University of Maryland at College Park and received his law degree from The Catholic University of America, Columbus School of Law.

Kristina Shaw

Kristina Shaw is a Principal Analyst on the Complex Review Team in the Advertising Regulation Department. Her primary responsibilities include reviewing private placement material filed with FINRA and investigating referrals from FINRA’s Examination program.

Kristina previously worked in FINRA’s Market Regulation Department as a Fixed Income Investigations Analyst. Prior to joining FINRA in 2010, Kristina worked in Operations at a member firm and earned a B.A. in Business Finance from Towson University

Thomas Dineen, Esq.

Thomas Dineen is Principal Analyst in FINRA’s Advertising Regulation Department. Prior to joining FINRA/NASD in 2007, he worked as an investment consultant at TD Ameritrade, a financial advisor at Ameriprise, and as a corporate lawyer. Mr. Dineen holds a Bachelor’s degree in English from Columbia University and law degrees from Oxford University and the University of Pennsylvania

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Accreditation and CLE Rules for Connecticut

Ad Review Workshop: Part 1

Connecticut MCLEAccreditation Info

About This Course

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Connecticut MCLE
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