Lecturer Bios
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.
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.
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.
Joseph J. Sheirer, Esq.
Joseph J. Sheirer is the Director of FINRA’s New Jersey District Office. Mr. Sheirer oversees the Surveillance, Cycle Examination, and Cause Investigation Programs for member firms and associated persons located in New Jersey and New York (outside of the five boroughs of New York City and Long Island).
Mr. Sheirer previously developed and oversaw FINRA’s national Membership Application Program group and worked in varying capacities in a number of other FINRA departments including Risk Oversight and Operational Regulation, Continuing Education, Testing, and Qualifications and Registration.
Mr. Sheirer is a graduate of Brooklyn Law School and Drew University and is a member of the Bars of the States of New York and New Jersey.
