Lecturer Bios
Clint Johnson Esq.
Clint Johnson is a Senior Director in FINRA’s Atlanta Office and is responsible for leading and managing risk monitoring programs for retail-oriented FINRA member broker/dealers, including firms that primarily offer private placements to retail investors. Prior to his current role, Mr. Johnson spent more than 20 years supporting and managing surveillance, cause and firm exam programs at FINRA.
Mr. Johnson has earned a Bachelor of Business Administration degree from the University of Georgia and a Master of Professional Accountancy from Georgia State University. He has also completed the Certified Regulatory and Compliance Professional™ program through The FINRA Institute.
Minh Q. Le
Minh Q. Le is Director of FINRA’s Corporate Financing Department. He has more
than 20 years of experience in the regulation of public and private offerings.
Currently, Mr. Le manages the department’s Private Placement Review program
which conducts regulatory oversight of broker-dealer participation in retail private
offerings.
In addition to overseeing the review and investigation program, Mr. Le’s
duties include developing policy and providing guidance on corporate financing and
other capital-raising related issues. Mr. Le also routinely provides subject matter
expertise to FINRA’s Examination and Enforcement staffs.
Building on this
experience, Mr. Le serves as a member on FINRA’s Regulatory Specialist committees for Public
Offerings, Private Placements, and Non-traded Direct Participation Programs (DPP) and Real Estate
Investment Trusts (REIT), and was a member of FINRA’s Risk Assessment Committee.
For the past 19
years, he has been a member of FINRA’s Sales Rep and DPP/REIT Qualifications Committees. Prior to
his involvement in developing FINRA’s private placement rules and the filing program, Mr. Le was a
manager in the department’s Public Offerings Review program, which is responsible for regulating
underwriting terms and arrangements in public offerings. Mr. Le graduated from the University of
Maryland, attended the Wharton Institute of Executive Education, and is a Certified Regulatory and
Compliance Professional (CRCP)®.
Scott Andersen
Scott Andersen is principal at Andersen, P.C. (finLawyer.com), a SEC and FINRA defense law firm with a national practice originating in Manhattan. Mr. Andersen was deputy Regional Chief Counsel at the Financial Industry Regulatory Authority (FINRA) in Los Angeles, where he oversaw all FINRA enforcement cases prosecuted by the Los Angeles office and managed the West region’s (Los Angeles, San Francisco, Denver and Seattle) attorneys (March 2012 to February 2015).
Mr. Andersen has broad experience with regulatory investigations and enforcement actions on Wall Street. He has led complex criminal and civil prosecutions for the New York State Attorney General’s office, the New York Stock Exchange (NYSE) and FINRA. His matters include: pump and dump stock manipulations; illegal security distributions; offering frauds; insider trading, research analysts conflicts of interest; mutual fund market timing/late trading; enterprise corruption (RICO); improper sales of complex securities products; ICOs, cryptocurrency and digital asset securities; and supervision and supervisory control systems.
He has worked on matters with the SEC, Department of Justice and state prosecutorial and regulatory agencies. His earlier positions include: Enforcement Director, FINRA, NYC, July 2007 to March 2012; Enforcement Director, NYSE Regulation, Inc., NYC, December 2004 to July 2007; Trial Counsel/Senior Special Counsel, NYSE Regulation, Inc., NYC, August 2003 to December 2004; Co-Chief, Securities Prosecutions Unit, Bureau of Investor Protection and Securities, Office of the New York State Attorney General, NYC, June 1999 to August 2003; and Assistant Attorney General, Office of the New York State Attorney General, NYC, August 1995 to June 1999. He is a cum laude graduate of Albany Law School and is admitted to practice in the States of New York and Arizona, and the U.S. District Court, Southern District of New York and the U.S. District Court, Eastern District of New York. Scott is an Adjunct Professor at his alma mater, Albany Law School, where he teaches on securities fraud and financial crime. He is a member of the Executive Council, Securities Regulation Section of the State Bar of Arizona since 2023.
Lori Kamen
Lori Kamen serves as President and Chief Compliance Officer of Aurora Securities, Inc. She has served in a variety of C-Suite and compliance roles at various financial services firms since 1997. She is a strong leader with solid common sense, change management, and leadership experience working closely with management, registered representatives, due diligence officers, and sponsors/ product vendors.
She holds the Series 4, 7, 24, 53, 63, and 66 licenses and graduated from Ithaca College with a bachelor’s degree in politics with a speech communications’ minor.
