The enemy of the gods of Fenris was the second of the children of Loki. Originally, the gods believed it is not enough threat and allowed to live in Asgard. The wolf raised among the Aesir and became so great and terrible that feed it dared only Tyr (God of military bravery). To protect themselves, the aces decided to tie Fenris chain, but the mighty wolf easily tore the strongest chain (Leding and Drommi). In the end, aces cunning managed to bind Fenrir magic chain Gleypnir that the dwarves made the noise the cat's steps, women's beard, roots of mountains, the bear lived (in ancient times, the tendons attributed to the properties of the nerves), fish's breath and bird's spittle. All this is no longer in the world. Glypnir was thin and soft as silk. But to the wolf allowed to wear that chain, Tyr had to put his hand in his mouth as a sign of lack of evil intentions. When Fenris could not break free, he bit off the hand of Tyr. Aces Finra chained to a rock deep under the ground and thrust a sword between his jaws.

Ritta McLaughlin, Director of Investor Education and Community Outreach, FINRA Investor Education Foundation

Maressa Brennan, Director, Innovative Finance, Milken Institute

Identity / Branding / Collateral / Web GUI / Back-end proprietary technology /

ESP, THE Buy-Side Solution, provides settlement aggregation via advanced patent pending post-trade management technology, network and services. ESP connects to over 250 Algo, Broker and DMA venues worldwide through a single fix connection to our broker-neutral global routing network. Clients include leading mutual funds, life insurance companies, pension funds, asset managers and hedge funds.

Brokerage services are provided by Electronic Securities Processing (ESP) LLC.

Member of FINRA, SIPC.

FOLIO : www.behance.net/mitch_g

EMAIL : mitch@gstarstudio.com

"Richard Ketchum to Retire From Finra" by LESLIE PICKER via NYT t.co/kYjoYzNU3d (via Twitter twitter.com/felipemassone/status/660133187553742849)

Providing investment management for the security of your future.

Amerisal Financial Inc.

3689 Carman Dr. Ste. 200

Lake Oswego, OREGON 97035

503-344-4422

Securities offered through SCF Securities, Inc. - Member FINRA / SIPC Investment Advisory Services offered through SCF Investment Advisors, Inc. 155 E Shaw Ave Suite 102, Fresno CA 93710, Ph: 800-955-2517, Fax: 559-456-6109, SCF Securities, Inc. and Amerisal Financial are not affiliated.

May 29, 2013 -- Assistant Secretary for Financial Institutions Cyrus Amir-Mokri delivers remarks at an event marking the release of the Financial Industry Regulatory Authority’s (FINRA) National Financial Capability Study at the George Washington University.

Financial consultant in Lake Oswego.

Amerisal Financial Inc.

3689 Carman Dr. Ste. 200

Lake Oswego, OREGON 97035

503-344-4422

Securities offered through SCF Securities, Inc. - Member FINRA / SIPC Investment Advisory Services offered through SCF Investment Advisors, Inc. 155 E Shaw Ave Suite 102, Fresno CA 93710, Ph: 800-955-2517, Fax: 559-456-6109, SCF Securities, Inc. and Amerisal Financial are not affiliated.

A trust-worthy financial planner located in Lake Oswego and serving the great Portland OR area.

Amerisal Financial Inc.

3689 Carman Dr. Ste. 200

Lake Oswego, OREGON 97035

503-344-4422

Securities offered through SCF Securities, Inc. - Member FINRA / SIPC Investment Advisory Services offered through SCF Investment Advisors, Inc. 155 E Shaw Ave Suite 102, Fresno CA 93710, Ph: 800-955-2517, Fax: 559-456-6109, SCF Securities, Inc. and Amerisal Financial are not affiliated.

Geoff Meyerson is Managing Partner and Co-founder of Locust Walk. He brings a track record of success in investment banking, venture capital and licensing where he has closed >50 transactions of all varieties including playing a role in a majority of Locust Walk’s closed transactions.

Prior to Locust Walk, Geoff worked in business development at a venture-backed biotech company, Zelos Therapeutics, where he was on the management team and negotiated a drug delivery collaboration with Aegis Therapeutics. Before Zelos, he worked as a venture capitalist at SR One, the venture capital subsidiary of GlaxoSmithKline, where he closed eight financings in the US and Europe. His first and most active investment where co-lead the due diligence was for Algeta, a Norwegian radiopharma company with a product for bone metastasis. They concluded a $3B sale to Bayer, received FDA approval for their product Xofigo, and achieved a >20x return to investors. Geoff also worked at MedImmune in business development helping with their small molecule strategy, which resulted in three transactions, and where he also assisted with two other transactions. He got his start as an investment banker in UBS’ Global Healthcare Investment Banking Group, where he closed 12 financing and M&A transactions with a variety of life science companies.

He holds an MBA in Health Care Management from the Wharton School, a Master of Biotechnology from the University of Pennsylvania, and a BS in Economics from Duke University.

Geoff founded and is President of an exclusive relationship building non-profit organization called, BioBreak. BioBreak has grown to six regions internationally (Boston, San Francisco, Philadelphia, New Jersey, UK and Germany) and has a membership base of >3,000 senior life science operating and investing executives. He is a member of the Young Presidents Organization New England Chapter and is on the Board of Overseers for Beth Israel Deaconess Medical Center. Geoff also has served two terms on the board of the Wharton Health Care Management Alumni Association. He was named by Wharton Magazine (The Wharton School’s alumni magazine) and the Philadelphia Business Journal to their 40 Under 40 list for 2017 and 2010, respectively.

Geoff lives in Needham, MA with his wife Sasha, three children, Victoria, Jacob and Michelle, and mini schnauzer, Duke. He enjoys golf, skiing, tennis and shooting in his free time.

He is a registered rep with FINRA holding his Series 79, 63, and 24 licenses.

Speakers

Geoff Meyerson, Locust Walk

Sapna Srivastava

OptionsHouse, LLC is an online stock and option broker delivering a fast, streamlined trading experience on its professional-grade trading platform, accessible at www.optionshouse.com/. A licensed FINRA broker-dealer, OptionsHouse was founded in 2005 and is a subsidiary of proprietary option-trading firm, PEAK6 Investments, L.P.

Options involve risk and are not suitable for all investors. In addition, electronic trading poses unique risk to investors. System response and access times may vary due to market conditions, system performance and other factors. OptionsHouse provides neither investment nor tax advice. Please read Characteristics and Risks of Standardized Options | Risk Statements and Disclosures | Privacy Policy, copies of which can also be obtained by contacting our Customer Service Department at customerservice@optionshouse.com. © 2006-9 OptionsHouse, LLC All rights reserved. Member of FINRA, SIPC.

This image is excerpted from a U.S. GAO report:

www.gao.gov/products/GAO-15-81

DODD-FRANK REGULATIONS: Regulators' Analytical and Coordination Efforts

Notes: We use the term "bank SIFI" to refer to U.S. bank holding companies with $50 billion or more in total consolidated assets. Our analysis includes nine U.S.-based bank holding company subsidiaries of foreign banking organizations that on their own have total consolidated assets of $50 billion or more. Bank SIFIs are ranked by assets as of the second quarter of 2014, with 1 being the bank SIFI with the greatest amount of assets and 33 being the bank SIFI with the least amount of assets.

This image is excerpted from a U.S. GAO report:

www.gao.gov/products/GAO-17-102

RETIREMENT SECURITY: Improved Guidance Could Help Account Owners Understand the Risks of Investing in Unconventional Assets

a) Retirement account owners or other disqualified persons are not permitted to benefit from an IRA other than as a vehicle to save for retirement. Disqualified persons include, for example, a person providing services to the plan and certain family members of otherwise disqualified persons (spouse, ancestor, lineal descendant, and any spouse of a lineal descendant).

b) IRA owner may decide to reinvest assets in another taxable arrangement after paying any applicable income taxes associated with an early distribution and additional excise taxes.

Identity / Branding / Collateral / Web GUI / Back-end proprietary technology /

ESP, THE Buy-Side Solution, provides settlement aggregation via advanced patent pending post-trade management technology, network and services. ESP connects to over 250 Algo, Broker and DMA venues worldwide through a single fix connection to our broker-neutral global routing network. Clients include leading mutual funds, life insurance companies, pension funds, asset managers and hedge funds.

Brokerage services are provided by Electronic Securities Processing (ESP) LLC.

Member of FINRA, SIPC.

FOLIO : www.behance.net/mitch_g

EMAIL : mitch@gstarstudio.com

Ritta McLaughlin, Director of Investor Education and Community Outreach, FINRA Investor Education Foundation

Maressa Brennan, Director, Innovative Finance, Milken Institute

Manish Dutta, Co-Founder and CEO, Alphaledger

Lourdes German, Executive Director, The Public Finance Initiative

OptionsHouse, LLC is an online stock and option broker delivering a fast, streamlined trading experience on its professional-grade trading platform, accessible at www.optionshouse.com/. A licensed FINRA broker-dealer, OptionsHouse was founded in 2005 and is a subsidiary of proprietary option-trading firm, PEAK6 Investments, L.P.

Options involve risk and are not suitable for all investors. In addition, electronic trading poses unique risk to investors. System response and access times may vary due to market conditions, system performance and other factors. OptionsHouse provides neither investment nor tax advice. Please read Characteristics and Risks of Standardized Options | Risk Statements and Disclosures | Privacy Policy, copies of which can also be obtained by contacting our Customer Service Department at customerservice@optionshouse.com. © 2006-9 OptionsHouse, LLC All rights reserved. Member of FINRA, SIPC.

Capital management services in Lake Oswego and the Portland area.

Amerisal Financial Inc.

3689 Carman Dr. Ste. 200

Lake Oswego, OREGON 97035

503-344-4422

Securities offered through SCF Securities, Inc. - Member FINRA / SIPC Investment Advisory Services offered through SCF Investment Advisors, Inc. 155 E Shaw Ave Suite 102, Fresno CA 93710, Ph: 800-955-2517, Fax: 559-456-6109, SCF Securities, Inc. and Amerisal Financial are not affiliated.

OptionsHouse, LLC is an online stock and option broker delivering a fast, streamlined trading experience on its professional-grade trading platform, accessible at www.optionshouse.com/. A licensed FINRA broker-dealer, OptionsHouse was founded in 2005 and is a subsidiary of proprietary option-trading firm, PEAK6 Investments, L.P.

Options involve risk and are not suitable for all investors. In addition, electronic trading poses unique risk to investors. System response and access times may vary due to market conditions, system performance and other factors. OptionsHouse provides neither investment nor tax advice. Please read Characteristics and Risks of Standardized Options | Risk Statements and Disclosures | Privacy Policy, copies of which can also be obtained by contacting our Customer Service Department at customerservice@optionshouse.com. © 2006-9 OptionsHouse, LLC All rights reserved. Member of FINRA, SIPC.

Ritta McLaughlin, Director of Investor Education and Community Outreach, FINRA Investor Education Foundation

This image is excerpted from a U.S. GAO report:

www.gao.gov/products/GAO-15-591

CREDIT RATING ANALYSTS: Views Varied on Merits of a Professional Organization, but Creating One Now Viewed as Premature

a) Some states require lawyers to be members of the state's bar to practice law in that state. These organizations are commonly referred to as mandatory, unified, or integrated state bars.

Financial management in Lake Oswego.Amerisal Financial Inc.3689 Carman Dr. Ste. 200Lake Oswego, OREGON 97035503-344-4422Securities offered through SCF Securities, Inc. - Member FINRA / SIPC Investment Advisory Services offered through SCF Investment Advisors, Inc. 155 E Shaw Ave Suite 102, Fresno CA 93710, Ph: 800-955-2517, Fax: 559-456-6109, SCF Securities, Inc. and Amerisal Financial are not affiliated.

Geoff Meyerson is Managing Partner and Co-founder of Locust Walk. He brings a track record of success in investment banking, venture capital and licensing where he has closed >50 transactions of all varieties including playing a role in a majority of Locust Walk’s closed transactions.

Prior to Locust Walk, Geoff worked in business development at a venture-backed biotech company, Zelos Therapeutics, where he was on the management team and negotiated a drug delivery collaboration with Aegis Therapeutics. Before Zelos, he worked as a venture capitalist at SR One, the venture capital subsidiary of GlaxoSmithKline, where he closed eight financings in the US and Europe. His first and most active investment where co-lead the due diligence was for Algeta, a Norwegian radiopharma company with a product for bone metastasis. They concluded a $3B sale to Bayer, received FDA approval for their product Xofigo, and achieved a >20x return to investors. Geoff also worked at MedImmune in business development helping with their small molecule strategy, which resulted in three transactions, and where he also assisted with two other transactions. He got his start as an investment banker in UBS’ Global Healthcare Investment Banking Group, where he closed 12 financing and M&A transactions with a variety of life science companies.

He holds an MBA in Health Care Management from the Wharton School, a Master of Biotechnology from the University of Pennsylvania, and a BS in Economics from Duke University.

Geoff founded and is President of an exclusive relationship building non-profit organization called, BioBreak. BioBreak has grown to six regions internationally (Boston, San Francisco, Philadelphia, New Jersey, UK and Germany) and has a membership base of >3,000 senior life science operating and investing executives. He is a member of the Young Presidents Organization New England Chapter and is on the Board of Overseers for Beth Israel Deaconess Medical Center. Geoff also has served two terms on the board of the Wharton Health Care Management Alumni Association. He was named by Wharton Magazine (The Wharton School’s alumni magazine) and the Philadelphia Business Journal to their 40 Under 40 list for 2017 and 2010, respectively.

Geoff lives in Needham, MA with his wife Sasha, three children, Victoria, Jacob and Michelle, and mini schnauzer, Duke. He enjoys golf, skiing, tennis and shooting in his free time.

He is a registered rep with FINRA holding his Series 79, 63, and 24 licenses.

Speakers

Geoff Meyerson, Locust Walk

Sapna Srivastava

OptionsHouse, LLC is an online stock and option broker delivering a fast, streamlined trading experience on its professional-grade trading platform, accessible at www.optionshouse.com/. A licensed FINRA broker-dealer, OptionsHouse was founded in 2005 and is a subsidiary of proprietary option-trading firm, PEAK6 Investments, L.P.

Options involve risk and are not suitable for all investors. In addition, electronic trading poses unique risk to investors. System response and access times may vary due to market conditions, system performance and other factors. OptionsHouse provides neither investment nor tax advice. Please read Characteristics and Risks of Standardized Options | Risk Statements and Disclosures | Privacy Policy, copies of which can also be obtained by contacting our Customer Service Department at customerservice@optionshouse.com. © 2006-9 OptionsHouse, LLC All rights reserved. Member of FINRA, SIPC.

Geoff Meyerson is Managing Partner and Co-founder of Locust Walk. He brings a track record of success in investment banking, venture capital and licensing where he has closed >50 transactions of all varieties including playing a role in a majority of Locust Walk’s closed transactions.

Prior to Locust Walk, Geoff worked in business development at a venture-backed biotech company, Zelos Therapeutics, where he was on the management team and negotiated a drug delivery collaboration with Aegis Therapeutics. Before Zelos, he worked as a venture capitalist at SR One, the venture capital subsidiary of GlaxoSmithKline, where he closed eight financings in the US and Europe. His first and most active investment where co-lead the due diligence was for Algeta, a Norwegian radiopharma company with a product for bone metastasis. They concluded a $3B sale to Bayer, received FDA approval for their product Xofigo, and achieved a >20x return to investors. Geoff also worked at MedImmune in business development helping with their small molecule strategy, which resulted in three transactions, and where he also assisted with two other transactions. He got his start as an investment banker in UBS’ Global Healthcare Investment Banking Group, where he closed 12 financing and M&A transactions with a variety of life science companies.

He holds an MBA in Health Care Management from the Wharton School, a Master of Biotechnology from the University of Pennsylvania, and a BS in Economics from Duke University.

Geoff founded and is President of an exclusive relationship building non-profit organization called, BioBreak. BioBreak has grown to six regions internationally (Boston, San Francisco, Philadelphia, New Jersey, UK and Germany) and has a membership base of >3,000 senior life science operating and investing executives. He is a member of the Young Presidents Organization New England Chapter and is on the Board of Overseers for Beth Israel Deaconess Medical Center. Geoff also has served two terms on the board of the Wharton Health Care Management Alumni Association. He was named by Wharton Magazine (The Wharton School’s alumni magazine) and the Philadelphia Business Journal to their 40 Under 40 list for 2017 and 2010, respectively.

Geoff lives in Needham, MA with his wife Sasha, three children, Victoria, Jacob and Michelle, and mini schnauzer, Duke. He enjoys golf, skiing, tennis and shooting in his free time.

He is a registered rep with FINRA holding his Series 79, 63, and 24 licenses.

Speakers

Geoff Meyerson, Locust Walk

Sapna Srivastava

Geoff Meyerson is Managing Partner and Co-founder of Locust Walk. He brings a track record of success in investment banking, venture capital and licensing where he has closed >50 transactions of all varieties including playing a role in a majority of Locust Walk’s closed transactions.

Prior to Locust Walk, Geoff worked in business development at a venture-backed biotech company, Zelos Therapeutics, where he was on the management team and negotiated a drug delivery collaboration with Aegis Therapeutics. Before Zelos, he worked as a venture capitalist at SR One, the venture capital subsidiary of GlaxoSmithKline, where he closed eight financings in the US and Europe. His first and most active investment where co-lead the due diligence was for Algeta, a Norwegian radiopharma company with a product for bone metastasis. They concluded a $3B sale to Bayer, received FDA approval for their product Xofigo, and achieved a >20x return to investors. Geoff also worked at MedImmune in business development helping with their small molecule strategy, which resulted in three transactions, and where he also assisted with two other transactions. He got his start as an investment banker in UBS’ Global Healthcare Investment Banking Group, where he closed 12 financing and M&A transactions with a variety of life science companies.

He holds an MBA in Health Care Management from the Wharton School, a Master of Biotechnology from the University of Pennsylvania, and a BS in Economics from Duke University.

Geoff founded and is President of an exclusive relationship building non-profit organization called, BioBreak. BioBreak has grown to six regions internationally (Boston, San Francisco, Philadelphia, New Jersey, UK and Germany) and has a membership base of >3,000 senior life science operating and investing executives. He is a member of the Young Presidents Organization New England Chapter and is on the Board of Overseers for Beth Israel Deaconess Medical Center. Geoff also has served two terms on the board of the Wharton Health Care Management Alumni Association. He was named by Wharton Magazine (The Wharton School’s alumni magazine) and the Philadelphia Business Journal to their 40 Under 40 list for 2017 and 2010, respectively.

Geoff lives in Needham, MA with his wife Sasha, three children, Victoria, Jacob and Michelle, and mini schnauzer, Duke. He enjoys golf, skiing, tennis and shooting in his free time.

He is a registered rep with FINRA holding his Series 79, 63, and 24 licenses.

Speakers

Geoff Meyerson, Locust Walk

Sapna Srivastava

Geoff Meyerson is Managing Partner and Co-founder of Locust Walk. He brings a track record of success in investment banking, venture capital and licensing where he has closed >50 transactions of all varieties including playing a role in a majority of Locust Walk’s closed transactions.

Prior to Locust Walk, Geoff worked in business development at a venture-backed biotech company, Zelos Therapeutics, where he was on the management team and negotiated a drug delivery collaboration with Aegis Therapeutics. Before Zelos, he worked as a venture capitalist at SR One, the venture capital subsidiary of GlaxoSmithKline, where he closed eight financings in the US and Europe. His first and most active investment where co-lead the due diligence was for Algeta, a Norwegian radiopharma company with a product for bone metastasis. They concluded a $3B sale to Bayer, received FDA approval for their product Xofigo, and achieved a >20x return to investors. Geoff also worked at MedImmune in business development helping with their small molecule strategy, which resulted in three transactions, and where he also assisted with two other transactions. He got his start as an investment banker in UBS’ Global Healthcare Investment Banking Group, where he closed 12 financing and M&A transactions with a variety of life science companies.

He holds an MBA in Health Care Management from the Wharton School, a Master of Biotechnology from the University of Pennsylvania, and a BS in Economics from Duke University.

Geoff founded and is President of an exclusive relationship building non-profit organization called, BioBreak. BioBreak has grown to six regions internationally (Boston, San Francisco, Philadelphia, New Jersey, UK and Germany) and has a membership base of >3,000 senior life science operating and investing executives. He is a member of the Young Presidents Organization New England Chapter and is on the Board of Overseers for Beth Israel Deaconess Medical Center. Geoff also has served two terms on the board of the Wharton Health Care Management Alumni Association. He was named by Wharton Magazine (The Wharton School’s alumni magazine) and the Philadelphia Business Journal to their 40 Under 40 list for 2017 and 2010, respectively.

Geoff lives in Needham, MA with his wife Sasha, three children, Victoria, Jacob and Michelle, and mini schnauzer, Duke. He enjoys golf, skiing, tennis and shooting in his free time.

He is a registered rep with FINRA holding his Series 79, 63, and 24 licenses.

Speakers

Geoff Meyerson, Locust Walk

Sapna Srivastava

Identity / Branding / Collateral / Web GUI / Back-end proprietary technology /

ESP, THE Buy-Side Solution, provides settlement aggregation via advanced patent pending post-trade management technology, network and services. ESP connects to over 250 Algo, Broker and DMA venues worldwide through a single fix connection to our broker-neutral global routing network. Clients include leading mutual funds, life insurance companies, pension funds, asset managers and hedge funds.

FOLIO : www.behance.net/mitch_g

EMAIL : mitch@gstarstudio.com

Brokerage services are provided by Electronic Securities Processing (ESP) LLC.

Member of FINRA, SIPC.

Geoff Meyerson is Managing Partner and Co-founder of Locust Walk. He brings a track record of success in investment banking, venture capital and licensing where he has closed >50 transactions of all varieties including playing a role in a majority of Locust Walk’s closed transactions.

Prior to Locust Walk, Geoff worked in business development at a venture-backed biotech company, Zelos Therapeutics, where he was on the management team and negotiated a drug delivery collaboration with Aegis Therapeutics. Before Zelos, he worked as a venture capitalist at SR One, the venture capital subsidiary of GlaxoSmithKline, where he closed eight financings in the US and Europe. His first and most active investment where co-lead the due diligence was for Algeta, a Norwegian radiopharma company with a product for bone metastasis. They concluded a $3B sale to Bayer, received FDA approval for their product Xofigo, and achieved a >20x return to investors. Geoff also worked at MedImmune in business development helping with their small molecule strategy, which resulted in three transactions, and where he also assisted with two other transactions. He got his start as an investment banker in UBS’ Global Healthcare Investment Banking Group, where he closed 12 financing and M&A transactions with a variety of life science companies.

He holds an MBA in Health Care Management from the Wharton School, a Master of Biotechnology from the University of Pennsylvania, and a BS in Economics from Duke University.

Geoff founded and is President of an exclusive relationship building non-profit organization called, BioBreak. BioBreak has grown to six regions internationally (Boston, San Francisco, Philadelphia, New Jersey, UK and Germany) and has a membership base of >3,000 senior life science operating and investing executives. He is a member of the Young Presidents Organization New England Chapter and is on the Board of Overseers for Beth Israel Deaconess Medical Center. Geoff also has served two terms on the board of the Wharton Health Care Management Alumni Association. He was named by Wharton Magazine (The Wharton School’s alumni magazine) and the Philadelphia Business Journal to their 40 Under 40 list for 2017 and 2010, respectively.

Geoff lives in Needham, MA with his wife Sasha, three children, Victoria, Jacob and Michelle, and mini schnauzer, Duke. He enjoys golf, skiing, tennis and shooting in his free time.

He is a registered rep with FINRA holding his Series 79, 63, and 24 licenses.

Speakers

Geoff Meyerson, Locust Walk

Sapna Srivastava

White Collar Crime Risk Zones uses machine learning to predict where financial crimes will happen across the US. The system was trained on incidents of financial malfeasance from 1964 to the present day, collected from the Financial Industry Regulatory Authority (FINRA), a non-governmental organization that regulates financial companies.

credit: thenewinquiry.com

Geoff Meyerson is Managing Partner and Co-founder of Locust Walk. He brings a track record of success in investment banking, venture capital and licensing where he has closed >50 transactions of all varieties including playing a role in a majority of Locust Walk’s closed transactions.

Prior to Locust Walk, Geoff worked in business development at a venture-backed biotech company, Zelos Therapeutics, where he was on the management team and negotiated a drug delivery collaboration with Aegis Therapeutics. Before Zelos, he worked as a venture capitalist at SR One, the venture capital subsidiary of GlaxoSmithKline, where he closed eight financings in the US and Europe. His first and most active investment where co-lead the due diligence was for Algeta, a Norwegian radiopharma company with a product for bone metastasis. They concluded a $3B sale to Bayer, received FDA approval for their product Xofigo, and achieved a >20x return to investors. Geoff also worked at MedImmune in business development helping with their small molecule strategy, which resulted in three transactions, and where he also assisted with two other transactions. He got his start as an investment banker in UBS’ Global Healthcare Investment Banking Group, where he closed 12 financing and M&A transactions with a variety of life science companies.

He holds an MBA in Health Care Management from the Wharton School, a Master of Biotechnology from the University of Pennsylvania, and a BS in Economics from Duke University.

Geoff founded and is President of an exclusive relationship building non-profit organization called, BioBreak. BioBreak has grown to six regions internationally (Boston, San Francisco, Philadelphia, New Jersey, UK and Germany) and has a membership base of >3,000 senior life science operating and investing executives. He is a member of the Young Presidents Organization New England Chapter and is on the Board of Overseers for Beth Israel Deaconess Medical Center. Geoff also has served two terms on the board of the Wharton Health Care Management Alumni Association. He was named by Wharton Magazine (The Wharton School’s alumni magazine) and the Philadelphia Business Journal to their 40 Under 40 list for 2017 and 2010, respectively.

Geoff lives in Needham, MA with his wife Sasha, three children, Victoria, Jacob and Michelle, and mini schnauzer, Duke. He enjoys golf, skiing, tennis and shooting in his free time.

He is a registered rep with FINRA holding his Series 79, 63, and 24 licenses.

Speakers

Geoff Meyerson, Locust Walk

Sapna Srivastava

Sold to "FINRA" District of Colunbia through Getty Images

OptionsHouse, LLC is an online stock and option broker delivering a fast, streamlined trading experience on its professional-grade trading platform, accessible at www.optionshouse.com/. A licensed FINRA broker-dealer, OptionsHouse was founded in 2005 and is a subsidiary of proprietary option-trading firm, PEAK6 Investments, L.P.

Options involve risk and are not suitable for all investors. In addition, electronic trading poses unique risk to investors. System response and access times may vary due to market conditions, system performance and other factors. OptionsHouse provides neither investment nor tax advice. Please read Characteristics and Risks of Standardized Options | Risk Statements and Disclosures | Privacy Policy, copies of which can also be obtained by contacting our Customer Service Department at customerservice@optionshouse.com. © 2006-9 OptionsHouse, LLC All rights reserved. Member of FINRA, SIPC.

Geoff Meyerson is Managing Partner and Co-founder of Locust Walk. He brings a track record of success in investment banking, venture capital and licensing where he has closed >50 transactions of all varieties including playing a role in a majority of Locust Walk’s closed transactions.

Prior to Locust Walk, Geoff worked in business development at a venture-backed biotech company, Zelos Therapeutics, where he was on the management team and negotiated a drug delivery collaboration with Aegis Therapeutics. Before Zelos, he worked as a venture capitalist at SR One, the venture capital subsidiary of GlaxoSmithKline, where he closed eight financings in the US and Europe. His first and most active investment where co-lead the due diligence was for Algeta, a Norwegian radiopharma company with a product for bone metastasis. They concluded a $3B sale to Bayer, received FDA approval for their product Xofigo, and achieved a >20x return to investors. Geoff also worked at MedImmune in business development helping with their small molecule strategy, which resulted in three transactions, and where he also assisted with two other transactions. He got his start as an investment banker in UBS’ Global Healthcare Investment Banking Group, where he closed 12 financing and M&A transactions with a variety of life science companies.

He holds an MBA in Health Care Management from the Wharton School, a Master of Biotechnology from the University of Pennsylvania, and a BS in Economics from Duke University.

Geoff founded and is President of an exclusive relationship building non-profit organization called, BioBreak. BioBreak has grown to six regions internationally (Boston, San Francisco, Philadelphia, New Jersey, UK and Germany) and has a membership base of >3,000 senior life science operating and investing executives. He is a member of the Young Presidents Organization New England Chapter and is on the Board of Overseers for Beth Israel Deaconess Medical Center. Geoff also has served two terms on the board of the Wharton Health Care Management Alumni Association. He was named by Wharton Magazine (The Wharton School’s alumni magazine) and the Philadelphia Business Journal to their 40 Under 40 list for 2017 and 2010, respectively.

Geoff lives in Needham, MA with his wife Sasha, three children, Victoria, Jacob and Michelle, and mini schnauzer, Duke. He enjoys golf, skiing, tennis and shooting in his free time.

He is a registered rep with FINRA holding his Series 79, 63, and 24 licenses.

Speakers

Geoff Meyerson, Locust Walk

Sapna Srivastava

Ann Hutton, Rachel Gray of SELCO and Susan Sarver of FINRA Foundation meeting to catch up on the Smart Investing @ Your Library grant - smartinvesting.selco.info.

OptionsHouse, LLC is an online stock and option broker delivering a fast, streamlined trading experience on its professional-grade trading platform, accessible at www.optionshouse.com/. A licensed FINRA broker-dealer, OptionsHouse was founded in 2005 and is a subsidiary of proprietary option-trading firm, PEAK6 Investments, L.P.

Options involve risk and are not suitable for all investors. In addition, electronic trading poses unique risk to investors. System response and access times may vary due to market conditions, system performance and other factors. OptionsHouse provides neither investment nor tax advice. Please read Characteristics and Risks of Standardized Options | Risk Statements and Disclosures | Privacy Policy, copies of which can also be obtained by contacting our Customer Service Department at customerservice@optionshouse.com. © 2006-9 OptionsHouse, LLC All rights reserved. Member of FINRA, SIPC.

Goldman Sachs took a bit of a nose dive, falling 2.5 points in about 4 minutes. Read the OptionsHouse blog entry here: BIG drop in Goldman Sachs – GS

OptionsHouse, LLC is an online stock and option broker delivering a fast, streamlined trading experience on its professional-grade trading platform, accessible at www.optionshouse.com/. A licensed FINRA broker-dealer, OptionsHouse was founded in 2005 and is a subsidiary of proprietary option-trading firm, PEAK6 Investments, L.P.

Options involve risk and are not suitable for all investors. In addition, electronic trading poses unique risk to investors. System response and access times may vary due to market conditions, system performance and other factors. OptionsHouse provides neither investment nor tax advice. Please read Characteristics and Risks of Standardized Options | Risk Statements and Disclosures | Privacy Policy, copies of which can also be obtained by contacting our Customer Service Department at customerservice@optionshouse.com. © 2006-9 OptionsHouse, LLC All rights reserved. Member of FINRA, SIPC.

Ritta McLaughlin, Director of Investor Education and Community Outreach, FINRA Investor Education Foundation

President Barack Obama drops by a meeting with the President’s Advisory Council on Financial Capability (PACFC), in the Roosevelt Room of the White House, Feb. 19, 2013. Participants include: Racquel Russell, DAP for Urban Affairs and Economic Mobility; acting Treasury Secretary Neal Wolin; Cecilia Muñoz, Domestic Policy Council Director; National Economic Council Director Gene Sperling; Michael Strautmanis, Counselor to the Senior Advisor for Strategic Engagement; John Rogers, Chairman of the Council and CEO of Ariel Investments; Amy Rosen, Vice Chair of the Council and CEO of the Network for Teaching Entrepreneurship (NFTE); Janie Barrera, CEO of ACCION Texas Inc.; Roland Arteaga, CEO of the Defense Credit Union Council; Ted Beck, The National Endowment for Financial Education; John Hope Bryant, CEO and founder of Operation HOPE; Samuel T. Jackson, CEO and founder of The Economic Empowerment Initiative, Inc.; Richard Ketchum–Chairman and CEO, the Financial Industry Regulatory Authority (FINRA); Beth Kobliner, Personal Finance Commentator, Journalist and Author; Carrie Schwab-Pomerantz, President of The Charles Schwab Foundation; Eldar Shafir, Professor of Psychology and Public Affairs in the Department of Psychology and the Woodrow Wilson School for Public and International Affairs at Princeton University. Administration participants: inlcude: Cyrus Amir-Mokri , Assistant Secretary for Financial Institutions at the U.S. Department of the Treasury; Melissa Koide, Deputy Assistant Secretary, Office of Consumer Policy at the U.S. Department of the Treasury; David Soo, Senior Policy Analyst and Senior Adviser for Financial Education at the U.S. Department of Education. (Official White House Photo by Pete Souza)

This photograph is provided by THE WHITE HOUSE as a courtesy and may be printed by the subject(s) in the photograph for personal use only. The photograph may not be manipulated in any way and may not otherwise be reproduced, disseminated or broadcast, without the written permission of the White House Photo Office. This photograph may not be used in any commercial or political materials, advertisements, emails, products, or promotions that in any way suggests approval or endorsement of the President, the First Family, or the White House.

Unusual trading activity in LPX Louisiana Pacific on September 22, 2009

OptionsHouse, LLC is an online stock and option broker delivering a fast, streamlined trading experience on its professional-grade trading platform, accessible at www.optionshouse.com/. A licensed FINRA broker-dealer, OptionsHouse was founded in 2005 and is a subsidiary of proprietary option-trading firm, PEAK6 Investments, L.P.

Options involve risk and are not suitable for all investors. In addition, electronic trading poses unique risk to investors. System response and access times may vary due to market conditions, system performance and other factors. OptionsHouse provides neither investment nor tax advice. Please read Characteristics and Risks of Standardized Options | Risk Statements and Disclosures | Privacy Policy, copies of which can also be obtained by contacting our Customer Service Department at customerservice@optionshouse.com. © 2006-9 OptionsHouse, LLC All rights reserved. Member of FINRA, SIPC.

President Barack Obama drops by a meeting with the President’s Advisory Council on Financial Capability (PACFC), in the Roosevelt Room of the White House, Feb. 19, 2013. Participants include: Racquel Russell, DAP for Urban Affairs and Economic Mobility; acting Treasury Secretary Neal Wolin; Cecilia Muñoz, Domestic Policy Council Director; National Economic Council Director Gene Sperling; Michael Strautmanis, Counselor to the Senior Advisor for Strategic Engagement; John Rogers, Chairman of the Council and CEO of Ariel Investments; Amy Rosen, Vice Chair of the Council and CEO of the Network for Teaching Entrepreneurship (NFTE); Janie Barrera, CEO of ACCION Texas Inc.; Roland Arteaga, CEO of the Defense Credit Union Council; Ted Beck, The National Endowment for Financial Education; John Hope Bryant, CEO and founder of Operation HOPE; Samuel T. Jackson, CEO and founder of The Economic Empowerment Initiative, Inc.; Richard Ketchum–Chairman and CEO, the Financial Industry Regulatory Authority (FINRA); Beth Kobliner, Personal Finance Commentator, Journalist and Author; Carrie Schwab-Pomerantz, President of The Charles Schwab Foundation; Eldar Shafir, Professor of Psychology and Public Affairs in the Department of Psychology and the Woodrow Wilson School for Public and International Affairs at Princeton University. Administration participants: inlcude: Cyrus Amir-Mokri , Assistant Secretary for Financial Institutions at the U.S. Department of the Treasury; Melissa Koide, Deputy Assistant Secretary, Office of Consumer Policy at the U.S. Department of the Treasury; David Soo, Senior Policy Analyst and Senior Adviser for Financial Education at the U.S. Department of Education. (Official White House Photo by Pete Souza)

This photograph is provided by THE WHITE HOUSE as a courtesy and may be printed by the subject(s) in the photograph for personal use only. The photograph may not be manipulated in any way and may not otherwise be reproduced, disseminated or broadcast, without the written permission of the White House Photo Office. This photograph may not be used in any commercial or political materials, advertisements, emails, products, or promotions that in any way suggests approval or endorsement of the President, the First Family, or the White House.

OptionsHouse, LLC is an online stock and option broker delivering a fast, streamlined trading experience on its professional-grade trading platform, accessible at www.optionshouse.com/. A licensed FINRA broker-dealer, OptionsHouse was founded in 2005 and is a subsidiary of proprietary option-trading firm, PEAK6 Investments, L.P.

Options involve risk and are not suitable for all investors. In addition, electronic trading poses unique risk to investors. System response and access times may vary due to market conditions, system performance and other factors. OptionsHouse provides neither investment nor tax advice. Please read Characteristics and Risks of Standardized Options | Risk Statements and Disclosures | Privacy Policy, copies of which can also be obtained by contacting our Customer Service Department at customerservice@optionshouse.com. © 2006-9 OptionsHouse, LLC All rights reserved. Member of FINRA, SIPC.

Holly Holt, a capital markets and Wall Street media relations strategist, provides seasoned counsel to LEVICK clients in a variety of industries. She has led communications initiatives in defense, firearms and ammunition, consumer goods and retail, food and agriculture, metals and mining, oil and gas, and technology, among others.

She currently provides support in matters pertaining to market trends, investor relations, activist investors and shareholders, proxy issues, mergers and acquisitions, corporate restructuring and bankruptcy. Her financial background encompasses corporate communications, and she has worked closely with investor relations, legal teams, Fortune 500 companies, as well as equity research analysts and investment banking teams. Her expertise includes knowledge of litigation, regulatory and compliance issues, including FINRA and the Securities and Exchange Commission (SEC) matters.

Ms. Holt’s close working relationships with major financial media outlets and broadcast networks span the globe, and include CNBC, CNN, Reuters, Bloomberg, The Wall Street Journal, The New York Times, as well as local media in multiple client locations. Prior to joining LEVICK, Ms. Holt was with the Neibart Group where she provided media relations and media strategy support for financial services clients such as JP Morgan, Russell Investments, and Charles Schwab, among others.

As U.S. Media Relations Manager for Bank of Montreal (BMO) in New York, Ms. Holt bridged Wall Street and Bay Street in Canada, providing U.S. and North American media relations direction while supporting corporate initiatives for more than 80 North American equity analysts covering in excess of 1,000 stocks.

Her broad experience at BMO included coverage of financial transactions and investor conferences such BMO’s Metals & Mining Conference, the largest in the world with over 26 participating countries. During her tenure, Ms. Holt was also part of numerous crisis management teams as well as communications teams assigned to follow industry and policy changes, along with breaking news on volatile markets and rapid equity market shifts.

Ms. Holt oversaw all BMO media interviews and media briefings for U.S. executives, and produced live broadcasts to leading national networks from the trading floor camera. She played an integral part in the company’s U.S. brand expansion and rebrand and assisted in the launch of BMO’s social media campaign in a highly regulated environment.

Fluent in Italian, Ms. Holt has provided bilingual marketing support and client service outreach.

levick.com/about/holly-holt

CINCINNATI (9/11/12) -- Financial panel (from left) Dionne Owens of Smart Money Community Services, Danielle McIntyre of Price Hill Financial Opportunity Center, Bobbi Roemer of Brighton Center, and Ruth (Peaches) Atha of LifeSpan Inc. kick off a financial education class today at the Fifth Third Convening Center.

The Financial Industry Regulatory (FINRA) Investor Education Foundation and United Way Worldwide (UWW) recently announced the United Way of Greater Cincinnati was awarded $150,000 as one of 12 grant recipients receiving more than $1.3 million as part of the Financial Education in Your Community initiative.

Financial Education in Your Community, which is administered jointly by United Way Worldwide and the FINRA Foundation, funds community-based financial education programs across the county, providing effective, unbiased financial education resources for working individuals and families. The latest group of grantees marks the third year of this partnership, which has awarded nearly $4.7 million to 39 grassroots projects since 2009.

United Way of Greater Cincinnati has partnered with Lifespan Inc. to provide workplace financial education training for front-line service providers from local non-profit organizations that provide employment, housing, financial education, workforce training child care and emergency services. In addition, United Way will work with the University of Cincinnati's Economics Center to evaluate measure the enhanced capacity of local human services staff to provide financial education services to their clients as a result of the trainings.

For more information about FINRA, visit www.finrafoundation.org. For more information about United Way of Greater Cincinnati, visit www.uwgc.org.

(United Way of Greater Cincinanti photo)

President Barack Obama drops by a meeting with the President’s Advisory Council on Financial Capability (PACFC), in the Roosevelt Room of the White House, Feb. 19, 2013. Participants include: Racquel Russell, DAP for Urban Affairs and Economic Mobility; acting Treasury Secretary Neal Wolin; Cecilia Muñoz, Domestic Policy Council Director; National Economic Council Director Gene Sperling; Michael Strautmanis, Counselor to the Senior Advisor for Strategic Engagement; John Rogers, Chairman of the Council and CEO of Ariel Investments; Amy Rosen, Vice Chair of the Council and CEO of the Network for Teaching Entrepreneurship (NFTE); Janie Barrera, CEO of ACCION Texas Inc.; Roland Arteaga, CEO of the Defense Credit Union Council; Ted Beck, The National Endowment for Financial Education; John Hope Bryant, CEO and founder of Operation HOPE; Samuel T. Jackson, CEO and founder of The Economic Empowerment Initiative, Inc.; Richard Ketchum–Chairman and CEO, the Financial Industry Regulatory Authority (FINRA); Beth Kobliner, Personal Finance Commentator, Journalist and Author; Carrie Schwab-Pomerantz, President of The Charles Schwab Foundation; Eldar Shafir, Professor of Psychology and Public Affairs in the Department of Psychology and the Woodrow Wilson School for Public and International Affairs at Princeton University. Administration participants: inlcude: Cyrus Amir-Mokri , Assistant Secretary for Financial Institutions at the U.S. Department of the Treasury; Melissa Koide, Deputy Assistant Secretary, Office of Consumer Policy at the U.S. Department of the Treasury; David Soo, Senior Policy Analyst and Senior Adviser for Financial Education at the U.S. Department of Education. (Official White House Photo by Pete Souza)

This photograph is provided by THE WHITE HOUSE as a courtesy and may be printed by the subject(s) in the photograph for personal use only. The photograph may not be manipulated in any way and may not otherwise be reproduced, disseminated or broadcast, without the written permission of the White House Photo Office. This photograph may not be used in any commercial or political materials, advertisements, emails, products, or promotions that in any way suggests approval or endorsement of the President, the First Family, or the White House.

OptionsHouse, LLC is an online stock and option broker delivering a fast, streamlined trading experience on its professional-grade trading platform, accessible at www.optionshouse.com/. A licensed FINRA broker-dealer, OptionsHouse was founded in 2005 and is a subsidiary of proprietary option-trading firm, PEAK6 Investments, L.P.

Options involve risk and are not suitable for all investors. In addition, electronic trading poses unique risk to investors. System response and access times may vary due to market conditions, system performance and other factors. OptionsHouse provides neither investment nor tax advice. Please read Characteristics and Risks of Standardized Options | Risk Statements and Disclosures | Privacy Policy, copies of which can also be obtained by contacting our Customer Service Department at customerservice@optionshouse.com. © 2006-9 OptionsHouse, LLC All rights reserved. Member of FINRA, SIPC.