Broker Dealer Enforcement & Compliance

Forum Overview

Dates: May 6 - 8, 2026

Location: New Orleans, LA

The Steering Committee welcomes up to 44 highly qualified attorneys, and a select few in-house counsel, specializing in securities enforcement and regulation of broker-dealers, across the United States. Discussions will have a strong FINRA and SEC broker-dealer focus and will include only those who are considered experts in the field.

Through candid, interactive discussions at this annual meeting, the group will explore the most pressing and provocative issues of the day. Participants learn how others address these problems and identify practical solutions that can work for them.

2026 Steering Committee

This elite group, comprised of experts in the field, personally nominates all invitees and develops the Agenda, which forms the basis of our discussions.

Committee Co-Chairs

Committee Members

Victoria Earls is Interactive Brokers LLC’s Chief Counsel for Investigations & Enforcement. In this role, she manages the firm’s response to federal, state, SRO, and exchange litigation and investigations.

Prior to joining IB in 2017, Victoria was in the Litigation practice of Paul Hastings, based in the firm’s Washington office. Her practice focused on white-collar defense, internal investigations, and compliance with government enforcement initiatives. Victoria represented domestic and international individuals and business structures, ranging from Fortune 500 companies to small partnerships and traders in investigations by DOJ, SEC, CFTC, FERC, various Congressional entities, and other government regulatory agencies involving alleged violations of commodities manipulation, securities, tax, fraud, antitrust, obstruction of justice, and FCPA regulations and laws.

Forum Director

Shóna holds a Bachelor’s Degree in English and Spanish Literature from University College Dublin. Relocating to Canada from Ireland in 2018, Shóna joined Cambridge Forums, where she sparked a passion for event planning and management.

Leveraging her extensive experience in client relations from previous roles in insurance and finance, Shóna thrives in orchestrating high-profile events and delivering memorable experiences for her clients.

When not traveling around the world hosting Cambridge events, Shóna is based in Vancouver where she enjoys getting out in nature as much as possible – hiking the local trails, running along the seawall, or taking her paddle board out on the water.

Ailish’s professional experience in operational roles spans a range of industries including hospitality, food service, event planning and real estate. She sits on the Board of Directors for a non-profit summer camp, planning fundraising and alumni events. Ailish is detail-oriented and service-focused; she is passionate about applying these skills through her work as Forum and Event Coordinator. In her spare time, Ailish enjoys discovering new restaurants in Toronto and abroad and spending time with family, friends, and her dog Trooper.

CONNECT. ENGAGE. EXCEL. This is a different event, unlike any you've attended

Built on meaningful interactions and genuine connections, the Forum is the premier gathering for preeminent leaders in securities enforcement and regulation of broker-dealers.

"Unquestionably, the most valuable professional conference I've attended."

Coates Lear

Member

Shoemaker Ghiselli + Schwartz LLC

Colorado

"The Forum on SEC Enforcement allows me to connect with some of the brightest minds across the country in a collaborative, discussion-based environment to share and consider thoughts and approaches to handling SEC investigations and enforcement actions. Unlike many conferences, the Forum is designed to foster social and intellectual engagement that results in better relationships and ultimately, better information and insights from which to serve clients."