Powerful partnerships. Standout solutions.
- Bergen County
- Senior Investor Compliance Services
Ron focuses on helping financial services firms prevent or mitigate harm related to elder financial exploitation, scams and other fraud directed at older and otherwise at-risk investors. His guidance is backed by a depth of professional experience in and knowledge of securities regulations.
Before joining Stevens & Lee, Ron helped create and then lead the Elder Client Initiatives team for Wells Fargo Advisors. The team counseled client-facing personnel, helped advisers address challenges with older and vulnerable clients, and designed and delivered training to Wells wealth management team about recognizing and preventing financial abuse. Ron engaged with stakeholders in academia, law enforcement, adult protective services and others, helping them understand how financial firms confronted the challenges related to older clients and how operational improvements might be made. He later became the Head of Aging Client Services for Wells Fargo and extended client protection efforts to other divisions in the company. He also advised the businesses about best practices, evolving regulatory requirements, and solutions in the at-risk investor space.
Before his time with Wells Fargo, Ron worked in the Wachovia Securities Legal Department in a supervisory capacity with the Wachovia team that handled regulatory inquiries. Prior to this, he started his industry career with the U.S. Securities and Exchange Commission where he held various roles, including as a Counselor to the Chairman. Ron was eventually elevated to act as the SEC’s District Administrator for its Philadelphia District Office, which oversaw the regulatory and enforcement programs in five Mid-Atlantic States and the District of Columbia.
Ron is a national authority and thought leader on the issues affecting elder and at-risk investors. He has shared his insights at conferences hosted by the Institutes of Medicine, the American Society on Aging, the International Association of Gerontology and Geriatrics, and the White House Conference on Aging, among others. The North American Securities Administrators Association (NASAA) bestowed upon him its 2023 Investor Champion Award.
Ron serves as a liaison to the ABA Commission on Law and Aging, as Board Chair for the National Center for Victims of Crime, sits on NASAA’s Senior Issues Committee Advisory Committee, serves as Vice President for Development and Engagement for the SEC’s Historical Society (SECHS), and he is a trustee for the Securities Industry and Financial Markets Association’s (SIFMA) annual Securities Industry Institute at Wharton.
- American Bar Association Commission on Law and Aging, Liaison
- National Center for Victims of Crime, Chair of the Board of Directors
- North American Securities Administrators Association
- Senior Issues Committee Advisory Committee
- SEC Historical Society, Vice President for Development and Engagement
Ron was presented with the North American Securities Administrators Association’s Investor Champion Award in 2023 for his unwavering dedication and commitment to investor protection.
- Georgetown University Law Center, J.D.
- Williams College, B.A.
*Not admitted to practice in New Jersey