Wesley L. Ringo is currently a senior advisor with Capital Forensics, Inc., providing expert analysis and testimony in securities related matters. Wes also provides consultative advice and solutions in Regulatory, Compliance, Operations and Risk Management areas within the financial services industry. Wes had previously served as a Senior Vice President and Chief Compliance Officer for Hilliard Lyons, overseeing its broker-dealer, investment adviser and trust company compliance effort. Wes had also been a Senior Vice President and Director of Compliance for Northern Trust Securities, Inc. Wes had also served as a Managing Director, Assistant General Counsel and Director of Regulatory Affairs for U.S. Bancorp Piper Jaffray. Wes had also been the Director of Compliance for Stifel, Nicolaus and Co. Wes had previously served as the Commissioner of Securities for the state of Wisconsin, appointed by a former Wisconsin Governor with the advice and consent of the state Senate. Wes started his career as a financial and sales practices compliance examiner with the Chicago Board Options Exchange.
Wes holds a Law Degree from the University of Wisconsin Law School, an MBA Degree from Loyola University of Chicago and an AB Degree from St. Louis University. Wes has served on the Board of Directors of the National Society of Compliance Professionals, the Board of Directors of the North American Securities Administrators Association and the Executive Committee of the Securities Industry and Financial Markets Association’s Legal and Compliance Society. Wes also served on the FINRA Industry/Regulatory Continuing Education Council, its Series 7 Job Analysis Task Force and is currently serving on FINRA’s Series 4, 9, 10 Exam Content Committee. Wes is also a member of the MSRB’s Retail Advisory Group. Wes is a member of the Wisconsin Bar Association.