Speakers

Carlos Guillen

Carlos Guillen

President & Chief Executive Officer of BasisCode Compliance

Over 20 years of senior executive and technology management experience in the financial services industry.

With decades of senior executive-level experience managing complex technology-enabled initiatives and compliance programs within the financial services industry, Carlos Guillen founded BasisCode Compliance in 2011. Prior to forming BasisCode Compliance, Carlos served as Chief Operating Officer at TCP Global Investment Management. There, he developed and implemented the entire Registered Investment Advisor operational and technology platform. Prior to TCP, Carlos held various senior executive roles, including Vice President, Chief of Staff and Vice President, Information Technology with ING Investment Management. Carlos has extensive experience integrating multiple operational and technical environments crossing organizational and geographical boundaries as well as the realignment of investment teams, investment workflow and technology solutions.

Carlos holds an MBA from the University of Georgia, Terry College of Business.

Todd Cipperman

Principal of Cipperman Compliance Services (CCS)

Todd Cipperman is the founding principal of Cipperman Compliance Services (CCS). Through his CCS relationships, Todd and our teams help advisers, broker-dealers, and funds protect their franchises against regulatory risk through the development, implementation, and operation of customized compliance programs that include ongoing review, testing, management, training, and regulatory response.

Todd has over 25 years of experience in the investment management and financial services industries. He has represented a wide range of investment management clients with a focus on distribution issues facing investment managers and broker-dealers. He previously served as general counsel of SEI Investments, a public mutual fund and financial technology firm, including its $65 Billion proprietary mutual fund family. He has also served as general counsel of one of the largest international equity managers. Prior to that, Todd spent several years in private practice on Wall Street representing both buy and sell side clients in investment management and capital markets transactions.

He is a graduate of the University of Pennsylvania Law School and Cornell University.

In addition to his dedication to CCS and the investment management industry, Todd enjoys spending time with his wife and two daughters at the New Jersey shore. A Western New York native, Todd can be found every Sunday watching his beloved Buffalo Bills via satellite TV. He also enjoys playing the guitar, cooking, Flyers hockey, and trying new restaurants.

Todd Cipperman is also the author of the “Our Take” Regulatory Alerts, which provide daily updates on important industry developments via e-mail. An archive can be found here.

Jonathan Wowak

Chief Operating & Financial Officer of Cipperman Compliance Services (CCS)

As Chief Operating & Financial Officer and a member of the Cipperman Compliance Services executive team, Jon oversees the internal operations of the firm and is primarily responsible to drive the continued effort to deliver an effective, timely and up-to-date compliance platform to our clients. Jon also oversees the corporate development, financial reporting and HR functions at CCS.

Jon has spent 20 years in the financial services and asset management industry. Most recently, Jon served as Chief Operating & Compliance Officer of Fortis Advisers, LLC, an investment adviser connected to a family office platform. Prior to that, Jon was a senior manager in the mutual fund practice at Tait Weller. Before joining Tait Weller, Jon served as CCO for a fixed income investment manager in the Philadelphia region for nearly 2 years. For the first half of his career, Jon spent 11 years in the asset management assurance practice at Ernst & Young in their Philadelphia and New York Offices.

Jon earned a B.S. in Business Administration – Accounting from Lehigh University. He is also a Certified Public Accountant (PA) and is a member of the PICPA and AICPA.

During his time away from CCS, Jon enjoys spending time with his wife and three children. He is an avid Philadelphia Eagles fan and also enjoys coaching youth baseball and basketball.

Jason Ewasko

Compliance Director, Chief Compliance Officer of Cipperman Compliance Services (CCS)

Jason is a senior member of our compliance group and is an active participant on our firm’s Compliance Committee. In addition to serving as a Chief Compliance Officer to our clients, Jason works in our practice development group – engagement quality assurance program. He is also our firm’s centralized marketing reviewer for our clients.

Jason is an experienced lawyer and compliance professional with nearly 20 years’ experience working in the financial services industry. Prior to his tenure at CCS, he served as chief compliance officer of TD Ameritrade, Inc.’s registered investment adviser while also providing compliance guidance for the company’s Institutional business. He also provided compliance and regulatory services at Hornor, Townsend & Kent, Inc., and its parent, The Penn Mutual Life Insurance Co. Jason started his career as a securities litigator in private practice, specializing in regulatory arbitrations and investigations.

Jason is a cum laude graduate of Colgate University and graduate of The Villanova University School of Law. He has obtained the following FINRA licenses: Series 7, 24 and 63.

During his time away from CCS, Jason enjoys spending time with his wife and three children, whether taking in their sporting events or spending time at the Jersey Shore in the summer.

Melinda ("Mimi") LeGaye

President of MGL Consulting, LLC (MGL)

President and Co-Founder of MGL Consulting LLC, her responsibilities include consulting with clients regarding capital structures of broker/dealer and investment advisors, registration of their firms with FINRA, SEC, NFA, CFTC and various state agencies as broker/dealers and investment advisors. Works with clients to structure and document their supervisory systems and procedures to comply with regulatory requirements.

Ms. LeGaye acts as liaison with clearing firms to coordinate their due diligence process, execution of clearing agreements, and regulatory issues. She oversees the preparation of underwriting calculations, and she has been directly responsible for the documentation and coordination of more than $115 million worth of subordinated debt loan transactions for clients for use in underwriting and permanent capital transactions with FINRA. She further assists clients and their legal counsel with review of offering documents, including private offering memorandums, escrow account agreements, and placing agent agreements.

Ms. LeGaye works with FINRA staff members in various Districts to review, negotiate and modify firm’s Membership Agreements to properly address and or expand the business scope of our clients. She has extensive experience consulting with clients and their legal counsel to determine strategies for handling SEC, FINRA, and State regulatory enforcement investigations and actions, as well as negotiating settlements with FINRA Offices relating to proposed sanctions and disciplinary actions. Ms. LeGaye also provides litigation support in the form of strategic consulting and expert witness testimony.

She has served as a member of the National Association of Compliance Professionals, the Real Estate Securities & Syndication Institute, and the International Association of Financial Planners. Currently serves as a member of the IPA Education Committee.