| Title | Company |
|---|
| General Counsel/Chief Regulatory Officer | The Green Exchange |
| Global General Counsel | Deutsche Bank |
| Sr. Manager, Internal Audit, Brokerage | Vanguard Group, Inc., The |
| Head, Global Compliance | Barclays Capital Group |
| General Counsel, Americas | Barclays Capital Group |
| Head of Regulatory Relations | Barclays Capital Group, North America |
| Director, Chairman's Office | Barclays Capital Group |
| Senior Vice President, Compliance, Treasury | Washington Mutual, Inc. |
| Practice Leader, Compliance and Administration | Towers Perrin |
| Senior Vice President, Capital Markets Compliance | Washington Mutual, Inc. |
| Senior Vice President/ Chief Compliance Officer, Retail Broker-Dealer | Washington Mutual, Inc. |
| Deputy Chief Compliance Officer, WaMu Investments | Washington Mutual, Inc. |
| Assistant General Counsel, Corporate Finance | Washington Mutual, Inc. |
