Regulatory Issues – InsuranceRadio.com

Richard Szuch – Senior & Vulnerable Investor Financial Protection and Reporting

July 17, 2019 dennisadbanker-com 00:16:54 Comments Off

Richard Szuch is a senior member of the Securities Litigation and Regulation practice group of Bressler, Amery and Ross. Richard regularly represents investment advisors, broker-dealers and banks; defending an array of fraud based claims. He defends clients in regulatory inquiries, arbitration concerning securities transactions and employment disputes. He has been in trials and hearings related to diverse topics including intellectual property, environmental contamination, voter fraud, closely held business disputes, probate matters and others. The 25 plus attorneys at Bressler Senior and Vulnerable Investor Group provide end to end advisory solutions and litigation support for clients confronting senior and vulnerable investor issues.

https://www.bressler.com/senior-group

Joseph Brady – Top Regulator

March 30, 2017 dennisadbanker-com 35:06 Comments Off

Protection of Vulnerable Adults from Financial Exploitation. Joseph Brady is the Executive Director the NASAA (North American Securities Administrators Association). NASAA is the association of state, provincial, and territorial securities regulators in the United States, Canada, and Mexico. NASAA and its members are committed to protecting investors from fraud and abuse in securities transactions, and their activities focus on licensing, enforcement, and investor education. As Executive Director, Mr. Brady is responsible for oversight of it’s century-old mission of investor protection across North America. Mr. Brady’s responsibilities have included supporting it’s representative on the Financial Stability Oversight Counsel and various committees including the Broker/Dealer and Investment Adviser Section Committees and CRD/IARD Steering Committee. He has led several initiatives to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act affecting the regulation of investment advisers. Prior to joining NASAA, Mr. Brady served as chief counsel to the Securities Division of the Mississippi Secretary of State. In this role he managed enforcement cases brought by the division and represented the Secretary of State in matters before state courts and administrative tribunals. Mr. Brady is admitted to the bars of Mississippi (inactive) and the District of Columbia and is a graduate of the Mississippi College School of Law and the University of Southern Mississippi.

North American Securities Administrators Association

Anne Melissa Dowling – Top Regulator

January 5, 2017 dennisadbanker-com 00:19:26 Comments Off

Anne Melissa Dowling, CFA, the Director of the Illinois Department of Insurance (IDOI). Dowling brings nearly 30 years of insurance industry experience to the position. She spent 25 years in the private sector, and she has spent the last three-and-a-half years working in leadership positions for the Connecticut Insurance Department (CID).

Most recently, Dowling was the Acting Commissioner of the CID, and she joined the department as the Deputy Commissioner in 2011. Dowling led the day-to-day operations of all divisions of the agency. CID has jurisdiction over the largest life insurance industry in the United States, and the second-largest overall insurance industry in terms of total written premiums. In addition, Dowling also served as an active board member of Access Health CT, Connecticut’s state-based public health insurance exchange, chairing the Advisory Committee on Essential Health Plan Benefit and Qualifications.

Prior to her regulatory work, Dowling was a senior vice president at MassMutual where she built the institutional insurance business to more than $12 billion in annual revenue and created an award-winning Women’s Markets Initiative. She served as Chief Investment Officer at Connecticut Mutual and held positions in investments and treasury functions at Aetna and Travelers. She is and has been active in governance roles on numerous non-profit boards focusing on education and literacy as well as for-profit boards.

Dowling earned her bachelor’s degree from Amherst College, and holds an MBA in finance from the Graduate School of Business at Columbia University.

Laura Kerekes – Good HR is Risk Management!

June 27, 2016 dennisadbanker-com 26:55 Comments Off

Laura leads her company’s services delivery teams, including the company’s elite group of human resource experts and the team responsible for ongoing aggregation and analysis of HR knowledge. Prior to joining ThinkHR, Laura held executive HR officer positions for large multi-national companies including AirTouch and Sygen as well as other companies in high tech, financial services and consumer products industries. Laura holds an M.B.A. with honors in HR and organizational development from Golden Gate University, a B.S. in business administration with honors from The Ohio State University and an Executive Human Resources Management certification from Stanford University. She also holds an SPHR certification. She grew up in Ashtabula, Ohio and now divides her time between homes in Atlanta, Georgia and the San Francisco Bay Area.

http://www.ThinkHR.com

Robert Wooley – Top Executive

March 1, 2016 dennisadbanker-com 20:30 Comments Off

Vantage Point – Attorney with Adams & Reese and former Louisiana Commissioner of Insurance. Robert Wooley joined Adams and Reese in 2006 and serves on the government relations team of the Special Business Services Group. He is the former Commissioner of Insurance for the state of Louisiana where he managed more than 250 employees and a multi-million dollar budget. He regulated the licensing and compliance of all insurance companies and agents operating in Louisiana. One of Robert’s most memorable experiences while serving as Commissioner was guiding staff through the aftermath of hurricanes Katrina and Rita in 2005. The office successfully helped thousands of Louisiana citizens with their insurance matters, implementing a number of emergency orders that helped to stabilize the marketplace and protect citizens. To accomplish this feat, staff patiently handled phone calls from constituents 12 hours a day, seven days a week, for more than three and a half months. In his free time, Robert enjoys duck hunting and racing sailboats.

www.adamsandreese.com

John Doak – Top Regulator

October 15, 2015 dennisadbanker-com 20:32 Comments Off

Vantage Point – Oklahoma Commissioner of Insurance. In 2011, John D. Doak became the 12th Insurance Commissioner of Oklahoma. He was sworn in to office for a second term in, 2015. Doak graduated from the University of Oklahoma with a Bachelor of Arts in Political Science. Shortly after graduation, Doak opened a successful insurance business in Tulsa. As his career thrived, Doak worked in numerous roles within the insurance industry. He served as an executive for several risk and insurance service companies including Marsh, Aon, HNI and Ascension. Under Commissioner Doak’s leadership, each year the OID has operated under budget. In the last four years, the Department has returned a total of $22.5 million in unspent funds to the state treasury and has generated more than $1 billion in revenue for the State of Oklahoma. As an active member of the National Association of Insurance Commissioners, Doak is the Vice Chair of the P&C Insurance Committee, the Chair of the American Indian and Alaska Native Liaison Committee, and a member of the International Insurance Relations Committee. Doak also shapes important national insurance policy issues as a member of the Government Relations Leadership Council. Doak is committed to protecting all Oklahomans by his pledge to visit all 77 counties annually. During his visits, which he has done each year since taking office, he promotes public awareness of important insurance issues through education and community outreach. Doak and his wife Debby live in Tulsa with their children, Zack and Kasey. They are members of the South Tulsa Baptist Church.

www.oid.ok.gov

Allen Kerr – Top Regulator

September 15, 2015 dennisadbanker-com 24:47 Comments Off

Vantage Point – Arkansas Commissioner of Insurance. Allen W. Kerr was appointed Arkansas Insurance Commissioner in 2015, by Governor Asa Hutchinson. Prior to his appointment, Kerr served three terms in the Arkansas House of Representatives. In the Arkansas General Assembly, Kerr served as Chairman of the Joint Committee on Public Retirement and Social Security Programs, and served on a variety of other committees, subcommittees, and task forces including the State and Public Schools, and Life and Health Insurance Program Legislative Task Force. During the 88th General Assembly, Kerr served as Vice Chair of the House Insurance and Commerce Committee. Kerr brings to his position over three decades of experience in insurance and financial services. He opened the Kerr Agency in March of 1981 and, by its first year of business, was ranked as number one in production in a district of 40 established agencies. In 2013 the agency was purchased by Delta Trust and Bank which was later purchased by Simmons Bank, becoming the Simmons First Insurance of which Kerr served as President. Kerr has been the recipient of many industry awards, including being a four-time member of the Million Dollar Round Table for life insurance production. He was also named “Best Insurance Agent” by Soirée magazine in 2012 and 2013. A former Justice of the Peace for Pulaski County, Kerr also served as the Budget Chair for the Pulaski County Quorum Court. Kerr and his wife, Marliese, make their home in Little Rock and are the proud parents of four children and grandparents to five.

www.insurance.arkansas.gov

Dave Jones – Top Regulator

June 11, 2015 dennisadbanker-com 25:50 Comments Off

Vantage Point – California Commissioner of Insurance. Dave Jones is the Insurance Commissioner for the State of California. Mr. Jones was first elected in 2010 and was reelected for a second term in 2014. Jones leads the Department of Insurance, which is the largest consumer protection agency in California and regulates the California insurance market where insurers collect $257 billion a year in premiums. Jones previously served in the State Assembly and on the Sacramento City Council. During the Clinton administration, he was selected as a White House Fellow. He then served as Special Assistant and Counsel for U.S. Attorney General, Janet Reno. He graduated with honors from Depauw University in Greencastle, Indiana, Harvard School of Law and Harvard’s Kennedy School of Government. He now lives in Sacramento with his wife and two children.

www.insurance.ca.gov

Adam Hamm – Cyber Security

April 21, 2015 dennisadbanker-com 21:56 Comments Off

Know-How – Cyber Security from a Regulators Perspective. Adam Hamm is Past President of the NAIC, and is now chair of the Cybersecurity Task Force. He was selected by his fellow insurance commissioners to serve on the U.S. Financial Stability Oversight Council. FSOC is a fifteen member body comprised of the nation’s chief financial regulators, including U.S. Treasury Secretary and Chairman of the Federal Reserve. Adam’s dedication to serve the public began with his work as prosecutor at the Cass County State’s Attorney’s office. Adam prosecuted personal crimes, including murder, rape, robbery, assault, and child physical and sexual abuse. This work gave Adam an understanding of what it takes to protect the public. He has also worked as an attorney in private practice advcating for North Dakota businesses and individuals. He is a graduate of Sam Houston State University and received his JD from the University of North Dakota School of Law. A native of Jamestown, Adam, and family now live in Bismarck, ND.

www.naic.org

Senator Ben Nelson – Top Executive

April 18, 2015 dennisadbanker-com 00:24:42 Comments Off

Vantage Point – CEO of the NAIC. Senator Nelson became the CEO of the National Association of Insurance Commissioners in 2013. He was selected for the post because of his unique combination of executive, legislative and regulatory experience. He was first elected to the U.S. Senate in 2000 where he served for two terms as Democratic Senator from Nebraska. In the Senate, he served on the Agriculture and the Armed Services Committee’s. He also served as chairman of the Strategic Forces Subcommittee. Working with Republicans and Democrats, Senator Nelson forged agreements between the Bush administration and the Senate on tax cuts, Medicare reform and homeland security. During the first term of the Obama administration, he co-founded a bipartisan “Jobs Squad” of Senators that cut billions in spending from an economic recovery plan that ultimately became law. In the months following 9/11, Senator Nelson was instrumental in gaining passage of the federal Terrorism Risk Insurance Act, which provided a “backstop” for catastrophic insurance losses resulting from acts of terrorism. Earlier in his career, Senator Nelson was governor of Nebraska. In 1994, he was the first Nebraska governor to be elected to a second term in two decades. His record of balancing Nebraska’s budget as governor was an asset as he worked to reduce federal spending in a way that was effective and fair. Senator Nelson started his career in insurance law. He served as CEO of the Central National Insurance Group, as chief of staff and executive vice president of the NAIC, and as Director of the the Nebraska Department of Insurance. He completed his bachelor’s, master’s and law degrees from the University of Nebraska in 1970.

Archives

Categories

Meta

Category: Regulatory Issues