Lori has an extensive background in the financial industry, giving her clients the benefit of a lawyer with real world experience in retail investing, as a regulator, and in institutional investing. Because Lori has this unique background, firms don't have to choose between an attorney proficient in the securities laws but lacking industry experience, or compliance services that have familiarity with the industry but can't provide the legal support frequently desired.
Lori first came to the financial field as a Registered Representative for a large national broker-dealer. While there, she held the Series 6 and 63 licenses until leaving to pursue her law degree. Lori credits this experience with giving her an industry perspective.
Lori's regulatory experience comes from being the Chief Enforcement Counsel at the Missouri Securities Division. In this position, she was the head of the Enforcement Section, where she lead the Division's staff of investigators and auditors in audits of broker-dealers and investment advisers, and investigations into violations of the Missouri Securities Act. During her tenure, she was the lead attorney on numerous matters of failure to supervise, and cases of securities fraud involving an array of complex financial instruments. While at the Securities Division, Lori developed a keen interest in compliance and completed FINRA's Wharton Institute for Certified Regulatory and Compliance Professionals, earning the CRCP designation in May 2009.
Lori is a FINRA arbitrator as well, serving on arbitration panels presiding over customer disputes with brokers and broker-dealers, and disputes among industry members.
In November 2010, Lori was appointed a Trustee of the Missouri Employees Retirement System (MOSERs), a $7 billion dollar public pension fund covering 55,000 public employees. Trustees of this Board establish the System's policies on asset allocation, risk tolerance and staff performance. This direct exposure and participation in institutional investing adds another aspect to Lori's background that sets her apart from most.
Lori enjoys serving her community by being a board member of Columbia Missouri's New Century Fund and being active in her Rotary chapter.
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