Greg Ruppert, Esq.

Greg Ruppert is Bank Secrecy Act Officer and a Senior Vice President in Charles Schwab Corporation’s Corporate Risk Management department. In his role, Mr. Ruppert is the Chief of the Financial Crimes Risk Management group, which encompasses the enterprise-wide BSA/Anti-Money Laundering, OFAC/Sanctions, Fraud Investigations, Anti-Bribery, Advisor Surveillance and Investigations, Cyber Crime Investigations, and Internal Investigation programs of the corporation.

Mr. Ruppert is also the Corporate Responsibility Officer. Prior to joining Schwab, Mr. Ruppert spent more than 17 years with the FBI. In his last assignment, he was a senior executive at FBI Headquarters in Washington D.C. where he oversaw the Cyber Division's efforts to combat the highest priority cyber threats emanating from Asia, Eurasia, Middle East, and Africa. Mr. Ruppert began his FBI career in the Boston Field Office specializing in complex corporate and securities fraud, money laundering, financial crimes, and cyber fraud. He also served on the Enron Task Force as a senior investigator assigned to investigate Enron’s CFO and other senior corporate officials.

During his tenure with the FBI, Mr. Ruppert also focused on the FBI's anti-terrorism efforts. He led a team, as part of the FBI’s 9/11 investigation, which uncovered the hijackers’ financial activities and sources of funding. He later joined the Terrorist Financing Operations Section where he created a unit responsible for the investigation of terrorism-related money laundering and illegal charity-based fundraising. Mr. Ruppert served internationally in the Netherlands and Germany. He also headed up high profile international terrorism investigations as Assistant Special Agent in Charge of the Extraterritorial Squads based out of the Washington DC Field Office.

Mr. Ruppert is a member of the FinCEN Bank Secrecy Act Advisory Group as well as District Committee Member for FINRA. He is also clinical professor for the University of the Pacific (UOP), School of Engineering and Computer Sciences’ Data Analytics Master’s Program. Mr. Ruppert also serves on the Industry Advisory Board for the UOP’s Cybersecurity Program. Mr. Ruppert is an active member of the California bar.

Stephanie Dumont, Esq.

Stephanie Dumont is Executive Vice President, Market Regulation and Transparency Services. Working closely with the SEC and the exchanges, the Department conducts extensive oversight of the securities markets to protect investors and preserve market integrity. The Department combines examinations of member firms and innovative automated surveillance that assesses billions of market events each day to identify potential manipulation or fraud, and to supervise firms’ compliance with FINRA rules and federal securities laws.

The Department also brings transparency to the equity and bond markets to help investors make informed investment decisions and improve supervision by regulators and firms. Previously, Ms. Dumont was Senior Vice President and Director of Capital Markets Policy for FINRA's Office of General Counsel, where she was responsible for leading the development and interpretation of FINRA rules for market regulation, and providing legal and policy advice to FINRA management and staff.

Among other areas, she was responsible for leading the policy and rulemaking legal team addressing trading and customer order handling practices, order audit trails and market structure for equity, options and fixed income securities. Ms. Dumont also supported the policy, rulemaking and regulatory reporting functions relating to FINRA's market transparency facilities and provided legal counsel for FINRA's participation in various National Market System Plans.

Prior to joining FINRA's Office of General Counsel, Ms. Dumont was Director of Compliance for a broker-dealer compliance consulting firm. Prior to that position, Ms. Dumont conducted investigations for NASD's Market Regulation Department in areas such as insider trading, fraud, short selling and options. Ms. Dumont earned her B.S. in Finance and Management from the University of Virginia and her J.D. from the University of Virginia School of Law. She also earned her LL.M, with distinction, in Securities and Financial Regulation from Georgetown University Law Center.

Christopher Kelly

Christopher Kelly serves as the Regional Chief Counsel for the North Region of FINRA’s Enforcement Department. As Regional Chief Counsel, Mr. Kelly oversees the work of the Enforcement Staff in the Boston, New Jersey, and Philadelphia District Offices. Prior to joining FINRA, Mr. Kelly served as Deputy Chief of the Criminal Division at the U.S. Attorney’s Office for the District of New Jersey. In that role, Mr. Kelly supervised more than 35 Assistant U.S. Attorneys in the Office’s white collar units: Economic Crimes, National Security, Healthcare and Government Fraud, and Cybercrime.

Prior to his promotion to the position of Deputy Chief, Mr. Kelly served as the Chief of the Economic Crimes Unit at the U.S. Attorney’s Office, where he oversaw the Office’s prosecution of complex economic crimes, including crimes involving insider trading, securities fraud, tax evasion, bank fraud, corporate fraud and embezzlement. Mr. Kelly also served as the lead prosecutor on several complex matters, including U.S. v. Tiger Asia, one of the first ever criminal prosecutions of a hedge fund. Mr. Kelly graduated from Duke University and Harvard Law School. Prior to joining the U.S. Attorney’s Office, he was an associate at the law firm Dechert LLP. Mr. Kelly also clerked for the Honorable Joseph E. Irenas, U.S. District Court Judge for the District of New Jersey.