Steven K. Baierlein is a senior manager within Deloitte's Audit & Assurance business in New York. Previously, Steven spent two years on secondment in London, United Kingdom. Steven supports Deloitte's Financial Services industry and has over ten years of experience serving a number of Deloitte's largest clients, including global investment banks, institutional securities firms, retail brokerage companies, commercial banks, and boutique advisory firms. Steven has in-depth knowledge of the Securities and Exchange Commission financial reporting rules and regulations and has assisted clients in complying with such reporting requirements. Steven also possesses a deep understanding of the securities and broker-dealer industry, including specific financial reporting rules and regulatory requirements in connection with audits of introducing broker-dealers and full-service clearing broker-dealers. Steven holds a Bachelor of Business Administration in Accounting from Hofstra University, Hempstead, New York. He is a certified public accountant licensed in New York and is a member of the American Institute of Certified Public Accountants and the New York State Society of Certified Public Accountants, for which he serves on the Stock Brokerage and Banking Committees. Steven is also a member of the Nominating Committee for the Board of Directors of the New York State Society of Certified Public Accountants.

Herbert M. Chain, MBA, CPA is a director at CBIZ Marks Paneth and shareholder in CBIZ CPAs P.C., where is a member of the quality management group responsible for engagement quality reviews, and consultations on independence, auditing, and accounting matters. He is a former member of the firm’s national Audit Methodology Steering Committee and former Deputy Technical Director of the Global Audit Group of the Kreston Global network. Prior to this, he spent 38 years with Deloitte (27 as audit partner) until mandatory retirement. He also served as an Assistant Professor in the Department of Accountancy at St. John’s University and led the Tobin Center for Executive Education. He served as an adjunct professor at St. John’s University, where he taught professional ethics. Mr. Chain is a member of the American Institute of Certified Public Accountants and the New York State Society of Certified Public Accountants. He served as Chair of the SEC Committee and is a member of the following NYSSCPA committees: Investment Company, Stockbrokerage, SEC, Digital Assets, and Peer Review and Quality Control. Mr. Chain currently serves as independent director and audit committee chair for FRMO Corp. and Qlarant. He is certified as a corporate director by the National Association of Corporate Directors and is credentialed in private company governance by the Private Directors Association. Mr. Chain received his BS degree (Marine Geology) from Duke University, an MBA from the Wharton Graduate School of Business, an MS in Global Studies (International Relations) from New York University, and is completing his DBA from the International School of Management.

John is a Partner in BDO’s Asset Management practice in New York and has 13 years of experience in the financial services industry, including an extensive background providing assurance services to broker-dealers and investment partnerships. John’s areas of specialty include retail, institutional and prime brokerage, correspondent clearing, market makers, proprietary trading, investment banking, and compliance with Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), and Financial Industry Regulatory Authority (FINRA) requirements. Prior to joining BDO, John spent four years at the Public Company Accounting Oversight Board (PCAOB) focusing on the development and implementation of the Broker-Dealer Inspection Program. Prior to his time with the PCAOB, John spent nine years in the Financial Services group at a Big Four accounting firm, where he specialized in broker-dealer engagements.

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Mr. Gettenberg is the owner of Accounting and Compliance International (ACI), a regulatory consulting firm which has provided FinOp licensing services to the broker dealer community for the past 35 years. ACI currently employs 20 full-time staff, which includes 10 licensed FinOps, 6 trained bookkeepers, and an additional support staff of non-licensed accountants and administrative personnel. ACI currently supports nearly 100 broker dealers across the country and Mr. Gettenberg has personally been registered at over 50 broker dealers over the past 10+ years. He has acted in a FinOp capacity for firms engaging in private wealth management, institutional execution, market making, proprietary trading, repo/reverse repo trading, chaperoning, omnibus clearing, investment banking, private placements, third party marketing, etc. In addition to being a licensed CPA, Mr. Gettenberg holds the Series 7, 15, 24, 27, 63, 79 and 99 licenses, and actively serves on both the FINRA District 10 Committee and the NYSSCPA Stock Brokerage Committee.

Janice Parise is a partner of DFP Partners. She provides all aspects of accounting and FINOP services to DPF Partners' diverse client base. Ms. Parise has over twenty years experience in the financial services industry in which she gained valuable, in depth knowledge and experience in the financial, compliance and operations functions of various broker dealers. Ms. Parise’s previous experience includes Controller and CFO positions with various Wall Street firms. Ms. Parise is a CPA and registered Financial and Operations Principal (Series 27). She is a member of FINRA’s Series 27 Exam Review Committee and serves as the vice-chair of the NYSSCPA’s Stock Brokerage Committee. Ms. Parise earned a BS in Accounting from CUNY - Queens College.

Stephen (Chip) Verrone is a Managing Director with EY’s Financial Services Organization in New York. He has over 22 years of experience in the assurance practice providing audit and advisory services to global financial institutions including SEC-registrant broker-dealers, CFTC-registrant futures commission merchants, and trading companies. Chip’s experience also included a role in EY’s national office – Professional Practice – Financial Services. He specializes in the accounting, operations, financial and regulatory reporting, and compliance matters of broker-dealers and futures commission merchants. He is an active member of the SIFMA Financial Management Society Advisory Committee, AICPA Stockbrokerage and Investment Banking Expert Panel, and Center for Audit Quality – Broker/Dealer Task Force, and member and former Chair of the NYSSCPA Stock Brokerage Committee. He serves as Vice Chair on the Board of Directors of a 501(c)(3) organization – Mentor New York. Chip earned his M.B.A. in Professional Accounting from Rutgers Business School and his B.A. in Biological Science from Rutgers College.

Anthony Vinci is a Senior Director in the Office of Financial and Operational Risk Policy at FINRA, working on broker-dealer accounting, auditing, and financial responsibility rule matters. Mr. Vinci is a Certified Public Accountant in the State of New York and currently serves as FINRA’s U.S. GAAP subject matter expert. Prior to joining FINRA, Mr. Vinci’s career experience was split between public accounting and the broker-dealer industry. Immediately prior to joining FINRA, he was the Chief Financial Officer, Treasurer and Financial and Operations Principal of Mirae Asset Securities USA, Inc. (Mirae), a start-up prime brokerage and clearing/carrying broker-dealer, responsible for building Mirae’s financial control, external/internal reporting, and liquidity risk management functions. Prior to his time with Mirae, Mr. Vinci was Chief Financial Officer, Financial and Operations Principal, and Secretary of Maple Securities USA, Inc. (Maple), a self-clearing broker-dealer. Prior to his time at Maple, Mr. Vinci held various positions at GFI Group, Inc., a publicly traded interdealer broker-dealer, including Director of Global Cash Management/Corporate Treasury and Manager of SEC Reporting/Accounting Policy. Mr. Vinci started his career with Ernst & Young LLP in the Financial Services Office Assurance Practice, focused on the audits of publicly traded companies including broker-dealers, securities exchanges, and other financial institutions. Mr. Vinci holds a Bachelor of Business Administration (Summa Cum Laude) and Master of Business Administration with a concentration in Public Accounting and Financial Management from Pace University. He currently serves on the Pace University Lubin School of Business Accounting Department Advisory Board. Mr. Vinci was recently recognized by the New York State Society of Certified Public Accountants with the “Emerging Leader Under 40” award.