This elite group, comprised of experts in the field, personally nominates all invitees and develops the Agenda, which forms the basis of our discussions.
Forum Overview
Dates: April 4 - 6, 2027
Location: New Orleans, LA
The Steering Committee welcomes up to 40 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.
2027 Steering Committee
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.
Jason Habermeyer is Associate General Counsel at Edward Jones and leads the Firm’s management of and response to inquiries and examinations from federal and state securities regulators and self-regulatory organizations. Jason previously worked as a Staff Attorney and Trial Counsel at the SEC’s Division of Enforcement, where he investigated and litigated all manner of securities fraud cases. He has also worked as in-house counsel at PwC and in the Compliance Regulatory group at Charles Schwab, and began his career in private practice in San Francisco.
Jason graduated from Brigham Young University in Provo, Utah, with a bachelor’s degree in Broadcast Journalism, and received his law degree from UC Hastings College of the Law (now UC Law SF). He currently resides in the San Francisco Bay Area.
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.
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.
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