Lecturer Bios
Stephanie Gregory, Esq.
Stephanie Gregory is Principal Analyst in FINRA's Advertising Regulation Department. Prior to joining FINRA in 2004, Ms. Gregory worked in compliance and advertising review with a member firm. Ms. Gregory received a bachelor’s degree in economics and political science from Boston University, and her law degree from Pennsylvania State University Dickinson School of Law.
Stephen Bard
Stephen R. Bard is Senior Vice President, and Wells Fargo's Wealth and Investment Management’s Director of Social Media and Communications Compliance. He leads the oversight of the Firm’s communication policies and procedures for their traditional, bank brokerage, and independent Broker Dealer/Investment Adviser dual registrants. With more than 25 year’s industry experience, he is responsible for managing the development and implementation of a risk-based compliance program to meet federal, state, agency, legal and regulatory requirements.
His team annually reviews 75,000 pieces of communications including Digital Marketing submissions from social media, mobile and e-communications. He is currently a participant on FINRA’s Public Communications Committee; and was a member of their Social Media taskforce, and participated in their BrokerCheck hyperlink working group. In addition to communication related issues, he provides guidance on tools, software, Privacy and Books and Records requirements.
Nancy Damiano
Nancy Damiano is a manager in FINRA’s Advertising Regulation Department. Previously, she was an associate manager and analyst in the Department, serving in similar roles at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA.
Prior to joining NASD, Mrs. Damiano was a registered principal at Legg Mason in Baltimore, MD. Previous to this role, she was a wholesaler with Legg Mason in Baltimore, MD. Mrs. Damiano received her bachelor’s degree from Christopher Newport University and completed her M.B.A. at Strayer University.
Surabhi Ahmad
Surabhi Ahmad is Vice President, Compliance at Ameriprise Financial. She leads
a global team charged with the compliance review of advertising, marketing and
communication materials for Ameriprise and its insurance and asset management
businesses, RiverSource and Columbia Threadneedle Investments. She also leads
a team of compliance professionals supporting the distribution of U.S. and global
products for Columbia Threadneedle through intermediary and institutional
channels. Based in Boston, Ms. Ahmad joined Ameriprise Financial in 2011.
She has spent the last 24 years in risk- and compliance-related roles within the financial
services industry including leadership roles at State Street Global Advisors and
Fidelity Investments. She has also worked at international firms in Singapore and India supporting clients
with trade finance, immigration and corporate law needs. Her diverse and international experience has
enabled her to provide a global perspective to the multiple organizations she’s been a part of.
Ms. Ahmad
received a B.S. from Calcutta University and a Professional Law Certification from the Delhi C.S. Institute in
India. She holds the Series 7 and Series 24 securities license with FINRA.
