Speaker Series Current Schedule

Justin Jeffries

Justin Jeffries

March 4, 2022

10:30 a.m. – noon

Zoom

Justin C. Jeffries is the associate director for the SEC’s Atlanta regional office, where he heads the enforcement program. Justin joined the SEC’s Division of Enforcement as a staff attorney in 2010 and was promoted to assistant regional director in 2017. He also served as a counsel to the division director. During his tenure at the SEC, Justin has investigated or supervised a number of high-profile investigations and enforcement actions in all of the commission’s major program areas. Before joining the SEC staff, Justin worked as a senior associate in King & Spalding LLP’s business litigation practice group in Atlanta and as an associate in Akin Gump Strauss Hauer & Feld LLP’s labor and employment practice group in Washington, D.C. He also served as a law clerk to the Honorable William S. Duffey Jr. in the U.S. District Court for the Northern District of Georgia. Justin received his law degree from the University of Virginia School of Law in 2002 and his bachelor’s degree from Duke University in 1997.

Dale Perez

Dale Perez

March 4, 2022

10:30 a.m. - noon

Zoom

Dale is an examination manager in the Atlanta regional office with a primary focus on broker-dealer and investment adviser examinations.  Previously, he served as a principal examiner with FINRA’s Seattle district office (2012-2013) and as the Global Privacy / Anti-Money Laundering and Anti-Bribery and Corruption Compliance Officer with Russell Investments in Seattle (2005–2012).  Additionally, he served as a special investigator with the NASD’s Seattle district office (1994–2005) and as a securities compliance examiner with the SEC’s former Seattle regional office (1990–1994). Dale’s 30+ years of experience and broad background as both a securities regulator and compliance professional, with key regulatory agencies and private industry, provide him with unique experiences in addressing compliance risks from both sides of the table. Dale’s current and former professional certifications and regulatory licenses include Regulatory Compliance Professional (CRCP), Anti-Money Laundering Specialist (CAMS), Information Privacy Professional (CIPP), Series 24 (General Principal) and Series 7 (Registered Representative). Dale graduated from the University of Washington with a business administration degree with an emphasis in economics and finance. He is a U.S. Navy veteran and deployed around the world aboard multiple aircraft carriers as an aviation electronic warfare analyst with the Black Ravens of COMMATVAQWINGPAC squadron VAQ-135 (1980–1984).

Todd Rogers

Todd Rogers

March 4, 2022

10:30 a.m. - noon

Zoom

Todd Rogers has served as a staff accountant for the Division of Examinations in the SEC’s Atlanta regional office since October 2003.  In this role, he conducts examinations of investment advisers, investment companies and transfer agents in Georgia, Alabama, Tennessee, North Carolina and South Carolina. Todd earned his MBA from the University of Central Florida in Orlando and his B.A. degree in accounting from Georgia State University in Atlanta.

Deborah Shaw

Deborah Shaw

March 4, 2022

10:30 a.m. - noon

Zoom

Deborah B. Shaw has served as an assistant regional director for examinations in the SEC’s Atlanta regional office since January 2016. In this role, she leads a team that includes exam managers, examiners and accountants who are responsible for examining broker-dealers, investment advisers, investment companies and transfer agents in Georgia, Alabama, Tennessee, North Carolina and South Carolina.  Deborah joined the commission in 2003 as a staff accountant and served as a senior accounting adviser and team leader in the Compliance Inspections and Examinations program until she assumed the assistant regional director role. Deborah joined the commission in continuation of an extensive career as an accountant, computer information systems college professor and credit union manager. She earned her MBA and bachelor’s degree in accounting from the University of South Alabama, and she holds the Certified Fraud Examiner designation.

Ian Bradley

Ian Bradley

April 22, 2022

9:00 a.m. - 10:15 a.m.

Room TBD

Ian is the EY Global Director of Customer Tax Operations and Reporting Services (CTORS). He leads a global team of tax, operations and technology professionals, assisting clients in meeting their customerrelated regulatory obligations to tax authorities across global tax regimes. His team provides tax technical advice, targeted process improvement, technology applications and a more recent trend of endtoend managed services.

Ian joined EY in 1995 (partner 2002) and has spent the last 27 years serving a multitude of clients across sectors, building and leading several tax practices and holding several tax leadership roles. Ian has worked in several practice offices and in the EY National Tax Department. He currently works for the global tax practice.

Ian is a regular instructor and speaker at internal and external seminars and events and a frequent contributor of thought leadership. Ian holds a BSBA from Boston University and a JD and MBA from the University of Connecticut. He is a certified public accountant in New York and a member of the bar in Connecticut.

Christa Steele

Christa Steele

TBD Spring 2022

Christa Steele shares her experiences as a former CEO and as a member of for-profit and nonprofit boards. She is a board-qualified financial expert and known for her governance expertise. Christa has served as chairman of the board and as chair or member of the audit, compensation, finance, governance, nominating and special committees. Her experience includes a wide range of industries, governance structures, company sizes, stages of development and geographic footprint. Christa has experienced two successful business exits, commanding premiums to market as a CEO and as partner and board director. She has a deep knowledge of financial services and emerging technologies, including direct involvement in big data, artificial intelligence and blockchain technology integration initiatives.

Christa is a nationally recognized speaker, thought leader and guest lecturer. She earned an MBA from the University of Southern California and a B.A. from California State University Sacramento. She is a National Association of Corporate Directors (NACD) Board Leadership Fellow and serves as Vice Chairman of the NACD Northern California chapter.