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FINRA Guidance on Social Networking Sites Blurs the Line Between Personal and Business Related Activity
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Robert Boresta
Of Counsel
Winston & Strawn LLP
Robert Boresta concentrates his practice in broker-dealer, investment management, and financial services regulation and compliance. Mr. Boresta has extensive experience advising financial service companies on broker-dealer and investment adviser matters arising under federal and state securities laws and self-regulatory organization rules, including supervisory and compliance policies and procedures, business expansions, regulatory inquiries, examinations and investigations, internal compliance reviews, financial and operational matters, disclosure issues, and new product development. He also regularly advises managers of private funds on compliance with laws and rules applicable to investment advisers. His experience includes advising clients with the structuring, formation, and licensing of securities firms with the SEC, SROs and state securities authorities, and with mergers and acquisitions involving broker-dealers and investment advisers. He also has assisted clients with the preparation and negotiation of agreements and forms related to their business.
Mr. Boresta is a member of the American Bar Association, Federal Regulation of Securities: Private Placement Broker-Dealer Task Force. He also is a member of the ABA’s subcommittees on Marketing Regulation, Investment Companies and Investment Advisers and the FINRA Corporate Financing Rules subcommittee. He is also a member of the ABA’s Committee on State Regulation of Securities.
Mr. Boresta serves a member of the Greater Bergen Area board of directors of CancerCare.
Mr. Boresta received a B.A. from Rutgers College in 1979. He received a J.D. from Fordham Law School in 1984.
Brian Heidelberger
Partner
Winston & Strawn LLP
Brian Heidelberger is an intellectual property partner in Winston & Strawn’s Chicago office who concentrates his practice in advertising, marketing, promotions, e-commerce, sports, and entertainment law matters. Mr. Heidelberger counsels advertising and promotions agencies, major consumer product companies, retailers, and Internet/e-commerce ventures on a wide range of marketing, promotional, intellectual property, and e-commerce issues, including user generated content and social media. He also represents athletes and entertainers, as well as their agents, in all aspects of their career development and business ventures.
Anthony (AJ) Bosco
Senior Vice President, Compliance
Bank of America Merrill Lynch
Anthony Bosco, is an attorney Senior Vice president in the Compliance Department of Bank of America Merrill Lynch., where he heads the Regulatory Examinations. Previously, Mr. Bosco work at Deutsche Bank Securities, where in addition to being in charge of regulatory exams and inquiries, he was responsible for coordinating investigations of issues raised through the firm’s Employee Hotline and customer complaints. He was also a member of the Regional Investigations Steering Committee, which had oversight over internal investigations. Prior to joining Deutsche Bank, Mr. Bosco worked for Prudential Securities Inc., the Securities and Exchange Commission and the New York County District Attorney’s Office.
Mr. Bosco is a member of the New York City Bar Association, where he has served on the Securities Regulation and Criminal Advocacy Committees.
Mr. Bosco received a B.A. degree from Columbia University in 1981 and a J.D. from Fordham University School of Law in 1986.
Roderick (Rod) Heck
Vice President, Financial Industry Solutions
Paragon Solutions
Rod Heck leads Paragon’s Electronic Communication Compliance and Risk Management (ECCRM) Practice. Mr. Heck is a result oriented Executive with broad experience leading multi-million dollar Technology Initiatives. In his role as ECCRM Practice Lead, Mr. Heck is responsible for system implementations and integrations, account supervision and financial management.
In addition to his expertise in Electronic Communication technologies, Mr. Heck has led numerous engagements across the Financial Services, Banking, Insurance, Manufacturing, Utilities, Retail, and Health-Care industries. Mr. Heck’s expertise includes the use and application of various Information Systems Development and Delivery Methodologies including the Rational Unified Process (RUP), Microsoft Solutions Framework (MSF), Agile and IBM’s Worldwide Solutions Design and Delivery Methodology (WSDDM).
Prior to joining Paragon in 2000, Mr. Heck held senior leadership positions at IBM and PriceWaterhouse Coopers (formerly Coopers & Lybrand).
Mr. Heck holds a Bachelor’s degree in Business and Administration from Eastern Washington University and has received numerous professional honors throughout his career.
Sonali Bhavsar
Principal Consultant, Financial Services
Paragon Solutions
Sonali Bhavsar is a Principal Consultant and lead Application Architect for Paragon’s Electronic Communication Compliance and Risk Management (ECCRM) Practice. In this role, Sonali has developed multiple frameworks and technology solutions for clients in all aspects of electronic communication compliance and records management.
Sonali holds certifications in leading compliance software tools including Orchestria, Autonomy and EMC SourceOneTM. Sonali’s article entitled “A Practical Approach to Data Loss Prevention to Protect Intellectual Assets of Your Company” has been published by EMC as part of the EMC Proven Professionals Program.
Prior to her appointment at Paragon in 2005, Sonali was a functional lead with Honeywell Automation and Control Solutions where she led functional projects for the Experion PKSTM product.
Sonali is currently pursuing a WPWP management degree from Wharton School of Business. She also holds a Masters of Science degree in Information Systems from Temple University and Bachelors of Science degree in Electronics Engineering from Mumbai University.
Melanie Taylor
Vice President, Service Delivery, Technology, Marketing and Communications Compliance
Ameriprise Financial Inc.
Melanie Taylor is a Vice President for Compliance at Ameriprise Financial, where she and her team are responsible for the oversight of several business units, including Operations, Technology and Marketing. Among her many responsibilities, Ms. Taylor conducts annual compliance inspections of the firm's offshore vendors, manages the compliance aspects of licensing and registration, and ensures compliance with the firm's policies and procedures related to Electronic Communications and Social Media. She has worked at Ameriprise Financial for over twenty years, holding a variety of positions within the firm. Ms. Taylor is active in the Mentiuum and Ameriprise Financial mentoring programs, and currently serves on the board of directors of Fraser Family Services, a nationally renowned organization providing comprehensive services for children with autism-related disorders. She is Series 7 and Series 24 licensed.
FINRA Guidance on Social Networking Sites Blurs the Line Between Personal and Business Related Activity
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