● John Walsh works in the Washington office of Sutherland within the law firm’s financial services group and securities enforcement and litigation team. John previously worked for 23 years at the SEC. His last position at the agency was as chief counsel within the SEC’s Office of Compliance Inspections and Examinations. He also served as acting director OCIE after Lori Richards resigned in 2009, until Carlo di Florio was named new director in January 2010. John was appointed the first chief counsel of the Office of Compliance Inspections and Examinations in 1997. He was appointed Associate Director – Chief Counsel in 2000. He was the senior legal officer for the Commission’s examination program. He also managed selected special examination initiatives.
● David Prince is General Counsel and Chief Compliance Officer of Stephens Investment Management Group, LLC an investment advisor headquartered in Little Rock, Arkansas. At Stephens he is responsible for legal and compliance affairs for two federally registered investment advisers. David was previously Deputy General Counsel for SunTrust Banks, Inc. in Atlanta, Georgia where he coordinated legal and compliance programs for all of SunTrust’s fiduciary businesses including its 7 investment advisers and two broker-dealers.
David previously served as General Counsel of The Robinson-Humphrey Company, a wholly-owned subsidiary of Salomon Smith Barney Inc. and as Regional Counsel to Shearson Lehman Brothers. He worked for six years as an enforcement attorney with the Atlanta Office of the Securities and Exchange Commission.
● Gregory Florio is a co-managing partner of Orical LLP, a New York-based law firm specializing in Investment Management Services, including private fund formation, regulatory and compliance related matters. Greg has over 15 years of legal and regulatory experience. For the five years prior to joining Orical, Greg served as Marathon Asset Management, LP’s Senior Counsel and Chief Compliance Officer, where he was a member of the Firm’s Compliance and Allocation Committees. He handled regulatory filings and audits and responded to regulatory requests for information. Prior to joining Marathon, from 2002 until 2006, Greg served as a regulatory counsel for Seward and Kissel LP where he advised hundreds of private funds and their managers in Federal and State legal matters, including regulatory and operational aspects of their business.
● Michelle Kennedy is president of the consulting firm Compass Compliance Services based in Greenville, S.C. She formerly served as head of Compliance Support Services at WealthTrust. She also has been vice president of Greenwood Capital Associates, a registered investment adviser. During her 15 years with the firm, she was responsible for compliance, operations and performance composite maintenance and served as the firm’s CCO for the last four years of her tenure.
● Michael Henry is a principal with Compass Compliance Services. He formerly served as General Counsel for WealthTrust LLC and as Chief Compliance Officer for several of WealthTrust’s affiliated registered investment advisory firms. His legal and regulatory background in the investment management and securities brokerage industries spans over twenty years and includes experience on both the industry and regulatory sides. Prior to taking a position with WealthTrust, Mr. Henry was Compliance Director and Assistant General Counsel for a regional brokerage and investment management firm.