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Eric Mogenssen, Corporate Attorney Eric is an Attorney based in Saratoga,California. Prior to founding his law firm, he was an M&A attorney at Intuit, Inc. The firm's practice encompasses a broad spectrum of the law whose practice areas include business transactions, business litigation, and employment. Eric has a strong academic background and considerable legal experience to address a wide range of matters. |
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Dave Rosedahl, Consulting Attorney Dave is an Attorney at Briggs and Morgan in the Financial Markets Group. He has more than 30 years of experience in the financial markets industry, specifically in the securities regulatory area. He has held various positions including Chief Regulatory Officer of the Pacific Exchange; Managing Director for Piper Jaffray; and Associate General Counsel for Securities Industry Association. Dave practice areas include regulatory compliance and enforcement, and financial markets counseling. Rosedahl spent a month in Mumbai in Feb 07 through USAID, where he provided the Indian government with recommendations aimed at protecting retail investors and improving the regulatory process for investment advisers. |
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Rory O’Connor, Brokerage Consultant Rory is a consultant at NRS, the nation's leading registration and compliance consulting firm that has over 6,000 clients in 6 countries, including Fidelity, Salomon Smith Barney, and John Hancock. NRS is best known for its outstanding compliance experience and its working relationship with regulators. NRS consultants register start-up and established firms with the federal and state governments, as well as provide ongoing compliance consulting and training. NRS is staffed with veteran compliance and registration specialists, including former SEC examiners, deputy commissioners, affiliated CPAs, and NASD-experienced examiners, as well as compliance officers for major corporations. |
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