Kurt D. Johansen is Vice President and Group Counsel at Ameriprise Financial supporting the company's retail retirement services group and providing ERISA expertise for its other business lines including institutional money management, financial planning and insurance and annuities. Kurt has been actively involved in analyzing the Department of Labor's regulatory initiatives related to fee disclosure and investment advice. Kurt joined Ameriprise Financial in 2003 and has been an ERISA attorney since 1998. He graduated from the University of Minnesota School of Law magna cum laude in 1998.

Lisa Roth is the Chief Executive Officer and majority owner of Keystone Capital Corporation, a FINRA member firm and registered investment adviser with its headquarters in San Diego, CA. Ms. Roth holds FINRA Series 7, 24, 53, 4, and 65 licenses. Ms. Roth is also the President of Monahan & Roth, LLC, a professional consulting firm offering regulatory compliance consulting and expert witness services. Previously, Ms. Roth was the founder of ComplianceMAX Financial Corp (CMAX) a provider of innovative compliance technologies and related services in current use by some of the US’s largest (and smallest) broker-dealers and investment advisers.

Ms. Roth is a member of the PCAOB Standing Advisory Group, the FINRA Series 14 Item Writing Committee, among other regulatory ad hoc committees. She has served on FINRA’s Small Firm Advisory Board including one year as its Chair. Past industry service also includes the Board of the National Association of Independent Broker-Dealers and the Third Party Marketer’s Association.

John H. Walsh is a Partner in Sutherland’s Financial Services Group and a member of the Securities Enforcement and Litigation Team. As a 23-year veteran of the Securities and Exchange Commission (SEC), John played a key role in creating the Office of Compliance Inspections and Examinations (OCIE), which administers examinations of the nation’s registered entities, including broker-dealers, investment managers, funds, self-regulatory organizations, and others. At the OCIE, John designed and implemented the SEC’s securities compliance examination practices, first as a Senior Advisor for Compliance Policy and then, most recently, as Associate Director-Chief Counsel. In 2009, at the peak of the financial crisis, he served as OCIE’s Acting Director and led a massive retraining of examination staff on anti-fraud techniques, including examination and certification of hundreds of staff as Certified Fraud Examiners. Until a permanent director was appointed in January 2010, he also testified before Congress and responded to inquiries from the Inspector General, the Government Accountability Office, Congress, and the Financial Crisis Inquiry Commission. John is a Certified Fraud Examiner and frequently speaks on issues such as the compliance implications of the financial crisis, dangers of identity theft, and issues to consider in an annual compliance review. He is a recognized author on securities regulation and compliance, and has published articles in Harvard International Law Journal, Columbia Business Law Review, Business Lawyer, and many others.