Join us to deepen your knowledge and get 1 hour of CE credit, including 1 hour of Standards, Ethics, and Regulations (SER) credit. Get the latest regulatory update from SEC staff and enjoy drinks and appetizers.
Ruth's Chris Steak House
225 NE Mizner Blvd Suite 100
Boca Raton, FL 33432
Check-in 5:30 PM
Event Start 6:00 PM
Steven Meiner has worked at the U.S. Securities and Exchange Commission, Miami, FL as Senior Counsel in the Division of Enforcement since May 2007-Present. Steven served as a member of the Asset Management Unit from 2015-2018. Prior to joining the SEC, Steven practiced for 11 years in New York as a litigator in private practice. His educational background consists of attending Brooklyn Law School, where he obtained his J.D., and graduated cum laude in 1996 in the Top 6% of his class. There he received several honors such as making the Dean’s List and serving as the Assistant Managing Editor on a journal. He also graduated from Brooklyn College, with a Bachelors of Arts, and recognized as summa cum laude in 1993 with a GPA of a 3.93. Some honors Steven received while there included Phi Beta Kappa, Dean’s List, and the Scholars Program. Steven has also received his bar admissions to practice in New York and the USDC for the Southern and Eastern Districts of New York.
James Richardson joined the Securities and Exchange Commission in 2015 as an Examiner in the Investment Adviser Examinations group. He was formerly employed at Chicago Board Options Exchange and FINRA for three years in the Chicago offices. He worked in the Member Regulation Division examining large trading firms with memberships to the various electronic equity and options exchanges. Prior to his regulatory career, James spent 15 years in the Chicago futures trading pits as a member of both the Chicago Board of Trade and the Chicago Mercantile Exchange. He was promoted to Vice President at Morgan Stanley and then Man Financial for his specialization in short term interest rate futures and options. James received his Bachelors of Science in Financial Management from Clemson University in Clemson, SC and his Masters in Business Administration from DePaul University in Chicago, IL.