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Speakers

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Samuel Brandwein, QPA, CFP, CIMA, CRPS, Vice President/401(k) Consulting Director, Morgan Stanley

Sam is a vice president & 401(k) consulting director with Morgan Stanley, having been employed in the investment industry continuously since 1986. Sam focuses his efforts primarily on investment manager search/evaluation, portfolio construction, and consulting with plan sponsors regarding the overall operation of their retirement plans. Sam holds both the Certified Financial Planner (CFP) and Certified Investment Management Analyst (CIMA) designations. Sam is also a credentialed member of ASPPA, having earned their Qualified Pension Administrator (QPA) designation. Sam has been an original member of the NAPA Leadership Council.



Ben Cardin

Senator Ben Cardin, Member, Senate Finance Committee (D-MD)

First elected to the US Senate in 2006, he was re-elected in 2012. Ben currently serves on the Finance, Foreign Relations, Environment and Public Works, and Small Business committees. Ben believes access to quality, affordable health care is a right. He was a strong supporter of the Affordable Care Act, which will provide more than 30 million uninsured Americans with health coverage. As a member of the Small Business Committee, Ben has championed legislation to permanently raise the surety bond guarantee limit from $2 million to $6.5 million and adjusts it for inflation.

He also has been a strong defender of the federal workforce. He believes that federal workers have already made a significant contribution to reducing the deficit with a pay freeze and does not believe they should shoulder the burden of deficit reduction alone.

In the Senate, Ben brings the expertise he developed while serving in the House of Representatives. Known for his command of pension and health care legislation, many of his financial proposals have been enacted into law, including: increasing the amount Americans can save for retirement and expanding Medicare to include preventive benefits.


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David Certner, Legislative Counsel and Legislative Policy Director for Government Affairs at AARP

David Certner is the Legislative Counsel and Director of Legislative Policy for Government Affairs at AARP. He has been with AARP since 1982, and is a member of AARP’s leadership team. He serves as counsel for the Association’s legislative, regulatory, and policy efforts, as well as for litigation opportunities before the courts. Prior to assuming his current role in 2007, Mr. Certner had served as Director of AARP’s 25 person Federal Affairs shop, where he headed up all federal legislative and regulatory activity. In both roles, Mr. Certner has testified numerous times before both Congress and regulatory bodies, and has made frequent appearances on TV, on radio, as well as in print publications.

Mr. Certner also previously served as chairman of the ERISA Advisory Council of the Department of Labor, and was appointed as a delegate to the 1998, 2002, and 2006 National Summits on Retirement Savings. He is currently a member of BNA’s Pension and Benefits Reporter advisory board. Mr. Certner, an attorney, received his law degree from the National Law Center at George Washington University.


Gregory Dean, Chief Counsel, Senate Banking Committee

Gregory Dean is the chief counsel for the Subcommittee on Securities and Investment of the Committee on Banking, Housing and Urban Affairs of the U.S. Senate. The Subcommittee is responsible for oversight of the U.S. Securities and Exchange Commission and Wall Street as well as the insurance and related industries.

Before joining the Banking Committee staff, Mr. Dean was the Finance Counsel for the Committee on Small Business of the U.S. House of Representatives where he was responsible for tax and banking issues. In addition, he was previously the Banking Counsel for the Committee on Small Business and Entrepreneurship of the U.S. Senate. Prior to working for the U.S. Congress, Mr. Dean was Assistant General Counsel for FINRA (then known as NASD Regulation, Inc.) the primary regulatory entity for the broker/dealer industry and the regulator for the NASDAQ stock market.

Mr. Dean began his career in Washington, DC, with the U.S. Small Business Administration’s Office of Advocacy where he served as the Assistant Chief Counsel for Banking and Finance. The Office of Advocacy is the small business watchdog within the federal government mandated by law to represent the views of small businesses before the federal government and the U.S. Congress. Mr. Dean was primarily responsible for working with the federal banking and securities regulators to ensure that the small business concerns were including in the implementation of regulations for the banking and securities industries.


Delaney, Barbara

Barbara Delaney, Principal, StoneStreet Equity, Inc.

An innovative entrepreneur and respected business leader, Barbara has been navigating the financial world since 1981. In 1999, she drew on her intuitive business sense to launch her own firm, FFOA. This successful company gained national recognition in 2008 when it was named “Advisor Team of The Year.”

In November 2007, Barbara’s company merged with Avenir Equity to become Stonestreet Equity, LLC.
Always active in the financial community, she was recently appointed to the Advisory Board for Prudential Retirement Services and Principal Financial Group. She remains a sought after speaker who has appeared at numerous industry conferences and seminars. She has also authored a number of articles for industry publications.


DeNoyior, Joseph

Joseph F. DeNoyior, AIF, Managing Partner, Washington Financial Group

Joseph is the managing partner of Washington Financial Group in McLean, VA. He provides financial education to professionals, business owners, entrepreneurs, and their organizations through his individual and qualified plans practices. He is particularly esteemed in the qualified plans community in which he is a Founding Lecturer at The Retirement University for Advisors at UCLA. He was also recently named one of the 60 Most Influential Advisors in Defined Contribution by 401kWire and the 401kExchange.


Franchimone, Tony

Tony Franchimone, AIF, PRP, PPC, C(k)P, Principal, Retirement Benefits Group

Tony has been providing qualified and non-qualified retirement plan services to institutions and their employees since 1989. He has established a reputation for excellence and expertise in the area of investment fiduciary responsibilities, benchmarking, contract negotiations, investment due diligence, and comprehensive employee education and communication programs. He has been featured in a range of media including PLANSPONSOR, PLANADVISER, Registered Representative, and Forbes, and was highlighted in a cover story for Research magazine.

As a recognized retirement plan expert, Tony has been a featured speaker and panelist for many retirement plan conferences including ASPPA and NAPA, as well as seminars and broadcasts throughout the country discussing plan design, communication/education and investment trends as well as Retirement Readiness and Behavioral Finance. Tony is also a member of many retirement Advisory Councils for major retirement plan vendors and providers. He was a finalist for PLANSPONSOR magazine’s Retirement Plan Advisor of the Year* from 2005-2011.

In 2009, Tony, a C(k)P, was selected as a founding lecturer at the “Retirement University” at UCLA’s Anderson School of Management. In 2011, he was asked to help develop the National Association of Plan Advisors and subsequently has become a member of its leadership committee as well as a member of one of its primary subcommittee, the Government Affairs Committee.


 

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Jamie Fleckner, Partner & Chair of ERISA Litigation Practice at Goodwin Procter

Jamie Fleckner is a partner in Goodwin Procter’s Litigation Department and Chair of its ERISA Litigation Practice. Mr. Fleckner represents clients in a wide array of complex commercial litigation, with a focus on financial services and products, including investment management. He regularly litigates class and derivative actions under ERISA, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and related federal and state laws. His practice also focuses on regulatory investigations and governmental proceedings, and has represented clients before the U.S. Department of Labor, Securities and Exchange Commission, Department of Justice, Pension Benefit Guaranty Corporation and state authorities.

Mr. Fleckner’s success in litigating cutting edge legal issues has been profiled in The American Lawyer, Big Suits. According to The Legal 500 United States, Mr. Fleckner “is particularly strong, and is fast becoming a leader in ERISA fiduciary litigation involving financial products.” He has also been selected for inclusion in Chambers USA: America’s Leading Lawyers for Business and in the inaugural list of Who’s Who Legal: Pensions and Benefits.


Steve Glaze

Steve Glaze, Palmetto Group

Steve Glaze joined the firm in 1999. He provides expertise and experience to clients on tax, employee benefits, and legislative issues. From 1990 until 1996, Steve served as Tax Counsel to Senator David Pryor (D-AR), a member of the Senate Finance Committee and former chairman of the Finance Subcommittee on IRS Oversight and Private Pension Plans. During his tenure with Senator Pryor, Steve was involved in developing, drafting, and building consensus for the Pension Simplification Act, the Taxpayer Bill of Rights 2, the S Corporation Reform Act, the American Family-Owned Business Act, and Long Term Care tax incentives B all of which have been enacted into law.

Steve has testified before Congress, and speaks throughout the United States on tax and legislative issues. Before 1990, Steve practiced law and accountancy in Arkansas and Washington, DC. After his tenure in the Senate, he was a partner in the Washington law firm of Davis & Harman.

Steve is a member of the American Bar Association, the District of Columbia Bar, and the Arkansas Bar Association. He is a Certified Public Accountant with membership in the Arkansas Society of CPAs. Steve received a B.S.B.A in accounting from the University of Arkansas at Fayetteville. He earned his J.D. from the University of Arkansas at Little Rock in 1985 and his LL.M. in Taxation from Georgetown University in 1990.


Aharon Friedman, Tax Counsel for the House Ways and Means Committee


Kara Getz, Tax Counsel for the Senate Finance Committee working for Chairman Max Baucus (D-Mont.)

Kara is tax counsel for the Senate Finance Committee working for Chairman Max Baucus (D-MT). Prior to joining the Finance Committee, Kara was tax counsel and legislative director for Congressman Richard Neal (D-MA). Kara also worked as chief counsel for the Senate Special Committee on Aging and Tax Counsel for former Senator Gordon Smith (R-OR). Her private sector experience includes working as the director of congressional affairs for ASPPA and as a senior manager in the National Compensation and Benefits Group of Ernst & Young LLP’s Human Capital practice.


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Brian Graff, Esq., ASPPA CEO and NAPA Executive Director

Brian began serving as ASPPA’s Executive Director/ Chief Executive Officer on November 8, 1996. An attorney and certified public accountant, Brian was formerly legislative counsel to the US Congress Joint Committee on Taxation, where he provided policy and technical analysis relating to pensions and employee benefits, health care and Social Security to members of Congress. While working for Congress, Brian participated in the development of legislation, including the Small Business Job Protection Act of 1996 and the Health Insurance Portability and Accountability Act of 1996.

Prior to working on Capitol Hill, Brian was associated with the Washington, DC, law firm, The Groom Law Group, which specializes in employee benefits. Brian has served as a delegate to all of the White House/Congressional National Summits on Retirement Savings. He is also a member of the US Chamber of Commerce Employee Benefits Committee, serves on the board of the Small Business Council of America and is a founding member of the Centre for Fiduciary Excellence (CEFEX) Advisory Council. Brian has testified several times before Congress and the DOL ERISA Advisory Council on issues affecting national retirement income policy. He is a frequent speaker at various national employee benefit conferences.

In 2006, Brian was named as Institutional Investor News’ Washington Impact Player of the Year. He is also one of 401k Wire’s “50 Most Influential Persons in the 401(k) Industry.” Brian received his JD, cum laude, from the University of Pennsylvania Law School in Philadelphia. He holds a BS in Accounting with distinction from Cornell University in Ithaca, NY.


Iwry, Mark

J. Mark Iwry, Senior Advisor, Department of Treasury

Mark is senior advisor to the secretary of the Treasury and deputy assistant secretary (Tax Policy) for Retirement and Health Policy at the US Treasury Department. Mark was formerly a nonresident senior fellow at the Brookings Institution, a principal of the Retirement Security Project, research professor at Georgetown University, and of counsel to the law firm of Sullivan & Cromwell LLP. He was the benefits tax counsel at the US Treasury Department from 1995 to 2001, serving as Treasury’s principal official directly responsible for tax policy and regulation relating to the nation’s qualified pension and 401(k) plans, employer-sponsored health plans, deferred compensation, and other employee benefits.

A principal architect of the Saver’s Credit to expand 401(k) and IRA coverage and the “SIMPLE” 401(k)-type plan, Mark co-authored President Obama’s legislative proposal to expand coverage through automatic IRAs. In the 1990s, he formulated and directed Treasury’s strategy to increase retirement saving by defining, approving and promoting 401(k) automatic enrollment (as well as automatic rollover to curtail pension leakage). He also has been centrally involved in developing or orchestrating many other significant improvements and simplifications of the nation’s pension and health care systems, including IRS direct deposit of split income tax refunds into IRAs, the “Universal Savings Accounts” proposal (1999-2000), payroll deduction IRAs, the small employer new plan tax credit, the repeal of Code section 415(e), and strengthening Board oversight of PBGC.


John Kline

Representative John Kline, Chairman, House Education and Workforce Committee (R-Minn.)

Congressman Kline has been proud to represent the men and women of Minnesota’s 2nd District in the US House of Representatives since first being elected to Congress in 2002.

In 2010, John was chosen by his peers to serve as the Chairman of the Education and the Workforce Committee for the 112th Congress. A 25-year veteran of the Marine Corps, he also serves on the House Armed Services Committee.

During his successful career in the Marine Corps, he served as a helicopter pilot and earned the responsibility of flying Marine One, the President’s personal helicopter. He also served as a personal military aide to Presidents Jimmy Carter and Ronald Reagan.

John and his wife, Vicky, live in Burnsville, Minnesota. He is especially proud of his two children and four grandchildren.


Margaret Lawrynowicz, Legislative Aide to Senator Kay Hagan (D-N.C.)


David Levine, Principal, Groom Law Group, Chartered

David is a principal at Groom Law Group, Chartered. He advises plan sponsors, advisors and other service providers on a wide range of employee benefits matters, from retirement and executive compensation to health and welfare plan matters.

David was previously the chair of the IRS Advisory Committee on Tax Exempt and Government Entities (2011-2013) and is currently a member of the executive committee of the Defined Contribution Institutional Investment Association and serves in a number of leadership roles in the American Bar Association Tax Section’s Employee Benefits Committee. He received his JD from the University of Pennsylvania Law School and his BA, with general and departmental honors, from Johns Hopkins University.


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Marc Machiz, Regional Director, EBSA at U.S. Department of Labor (Philadelphia Region)

Marc attended law school at the University of California at Berkeley (Boalt Hall). He joined the Plan Benefit Security Division (“PBSD”) of the Office of the Solicitor of Labor following law school in 1978. Following a short stint representing unions and Taft-Hartley Funds in 1984-85, he returned to PBSD, serving as Counsel for General Litigation from 1986-1988 when he was appointed Associate Solicitor of Labor for PBSD.

As Associate Solicitor, he was responsible for all legal services provided to the Employee Benefits Security Administration (EBSA), formerly Pension Welfare Benefits Administration. In 2000, he joined the firm now known as Cohen Milstein Sellers & Toll, PLLC as a partner and headed their employee benefits practice, primarily representing participants and fiduciaries as class action plaintiffs in ERISA cases. In January of 2012 he joined EBSA as a consultant on enforcement issues. In July 2012, he was appointed the Regional Director of EBSA’s Philadelphia Region and currently serves in that capacity.


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Judy Mares, Deputy Assistant Secretary of Labor

Judy Mares became EBSA’s Deputy Assistant Secretary in October 2013. She joined EBSA after retiring from an extensive corporate career. Most recently, she was the Chief Investment Officer of Alliant Techsystems, Inc., where she managed the investments of the pension, savings, and VEBA plans (a total of $4.2 billion in assets) for seven years. She also served as the CIO of Ameritech Corporation for five years, and the Director of Benefit Finance at General Mills for twelve years. In addition, Mares was the President of Mares Financial Consulting for 13 years.

Prior to joining EBSA, Mares was the Defined Contribution Committee Chair of the Committee on the Investment of Employee Benefit Assets (CEIBA), and a member of the Plan Sponsor Advisory Committee of the Defined Contribution Institutional Investment Association (DCIIA). Mares was previously the Chair of the ERISA Advisory Council and a loaned executive to President Carter’s Commission on Pension Policy. She earned a Bachelors Degree in Mathematics from Purdue University and an MBA from the University of Illinois.


John O’Neill, Partner, Capitol Counsel LLC

John is a partner with Capitol Counsel LLC. where he advises clients on a wide array of legislative and public policy issues with a heavy focus on tax, financial services, health care, pension, employee benefit and compensation matters.

John served on both the Senate Republican Leadership staff and staff of the Senate Committee on Finance. During his tenure with Senate Republican leadership, he was policy director and Counsel in the Office of the Senate Republican Whip Trent Lott. In the Whip Office, he assisted in the development and coordination of the Senate Leadership floor strategy with respect to all legislation considered by the United States Senate.

Prior to his service in the Republican Whip Office, John served as tax counsel to the US Senate Committee on Finance under Chairman Charles Grassley (R-IA). At the Finance Committee, he focused most heavily on the tax treatment of financial institutions and products, retirement policy and pension issues, health care policy, education tax and savings initiatives, and compensation and employee benefits.

John is a frequent speaker and lecturer on public policy issues, and has authored a number of articles in professional and scholarly publications. John received a BA from Skidmore College in 1994 and a law degree from Georgetown University Law Center in 1999. He has also studied through the Tulane Law School summer program in the Netherlands, and participated in a fellowship program in the UK House of Parliament. He is a member of the bars of the District of Columbia and Massachusetts.


Rutledge, Preston

Preston Rutledge, Tax and Benefits Counsel, Senate Finance Committee

Preston serves as tax and benefits counsel on the Republican Tax Staff of the Senate Finance Committee, focusing on employee benefits, employment taxation and tax-exempt organizations. Prior to joining the Finance Committee, he served on the headquarters staff of the Tax Exempt and Government Entities Division of the Internal Revenue Service (IRS). Preston also worked in the IRS Office of Chief Counsel, and in private law practice as an employee benefits counselor and litigator. He was a law clerk on the US Court of Appeals for the Firth Circuit, and he served as an Officer in the US Navy before attending law school.

Preston earned his Bachelor of Science in finance, cum laude, from the from the University of Idaho; Juris Doctorate, with high honors, from the George Washington School of Law, where he was a member of the Law Review; and Master of Laws in taxation, with distinction, from the Georgetown University Law Center.


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Marcy Supovitz, CPC, QPA, QKA, American Retirement Association President-Elect

Marcy Supovitz is a Principal of Boulay Donnelly & Supovitz Consulting Group, Inc. Prior to joining the firm in 2003, Marcy spent 12 years with Pioneer Investments, a global mutual fund company, serving as Executive Vice President, Retirement Plans. Earlier in her career, she led the retirement plans division at Allmerica Financial and also served many years on the adjunct faculty of Purdue University where she lectured on retirement plan topics.

Marcy was the founding president of the National Association of Plan Advisors, the largest industry organization for retirement plan advisors, and was among the 100 delegates invited to Capitol Hill to advise Congressional leaders about the future of the retirement savings industry and how proposed laws and regulations could affect American workers’ retirement security.


 

My Approved Portraits

Senator Jon Tester (D-Mont.), Ranking Member, Senate Banking Committee

Jon Tester is a third-generation Montana farmer from northcentral Montana. A former teacher, Jon and his wife Sharla still farm the same land Jon’s grandparents started working more than a century ago. Montanans elected Jon to the U.S. Senate in 2006 and again in 2012. As a senior member of the Senate Banking Committee, Jon is leading the efforts to oppose the Department of Labor’s efforts to change fiduciary standards. Jon continues to be the Senate’s leading rural voice on the Banking Committee and is a tireless advocate for Main Street investors and lenders.


 

Chuck Todd

Chuck Todd,Chief White House Correspondent, NBC News

Chuck is NBC News’ chief White House correspondent, as well as the host of The Daily Rundown on MSNBC. He became NBC News’ Political Director in March 2007. He also serves as NBC News’ on-air political analyst for NBC Nightly News with Brian Williams, Today, Meet the Press and MSNBC. In addition to his on-air analysis, he is responsible for all aspects of the network’s political coverage, serving as the point person for political news and information. He is also the editor of “First Read,” NBC’s must-read guide to political news and trends in and around Washington, DC. In 2009, Chuck co-authored with Sheldon Gawiser the definitive election result analysis book for the 2008 presidential campaign, titled, “How Barack Obama Won,” published by Vintage.

Before joining NBC News, Todd was the editor-in-chief of National Journal’s “The Hotline,” Washington’s premier daily briefing on American Politics. In his 15 years working at “The Hotline” or one of its affiliates, Todd became one of Washington’s foremost experts on political campaigns of all levels. He served as editor-in-chief for six years. He also serves as a contributing editor to “The Atlantic Monthly” where he pens political essays.

He frequently contributes op-ed essays for various publications, including The New York Times and the Washington Post. In addition to his extensive media presence, he’s served as an adjunct professor, teaching a graduate-level political communications course at the Johns Hopkins University. In January of 2012, GQ named Chuck “The Most Powerful Journalist in Washington,” part of the magazine’s “50 Most Powerful People in Washington” list. In May of 2012, he won the Jeopardy! Power Players match.


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Representative Ann Wagner (R-Mo.), Member, House Financial Services Committee

Ann announced her run for Congress on April 26, 2011 and has attended hundreds of events including forums, debates, picnics, meetings and rallies. Her signature grassroots “Table Tops” have been a listening and learning tour in homes all across the district. Her strong connection to her community has helped Ann recruit hundreds of volunteers from every corner of the 2nd Congressional District.

She has been endorsed by national and state leaders including Attorney General John Ashcroft, Ambassador John Bolton, New Jersey Governor Chris Christie, Senator Jim Talent and Governor Mike Huckabee; and grassroots advocacy groups such as Susan B. Anthony List, Citizens United Political Fund, Freedomworks PAC and the National Rifle Association.

In 2010, Ann was asked to serve as the Chairman of Roy Blunt’s successful U.S. Senate campaign in Missouri. Bringing her high energy and political skills to the campaign, Ann helped unite existing and new conservative grassroots activists to produce a landslide victory.

In 2005, following nomination by President Bush and confirmation by the US Senate, Ann was sworn in as the 19th US Ambassador to Luxembourg by Secretary of State Condoleezza Rice. She served as US Ambassador for four years before returning to her home in Ballwin, Mo.

Ann attended the University of Missouri and received her BSBA from the Trulaske School of Business with an emphasis in Logistics.


michael wolff

Mike Wolf, Counsel, Schlichter Bogard & Denton, LLP

Michael A. Wolff is Counsel with the firm and practices in Employee Retirement Income Security Act (ERISA) class action and complex litigation. He has extensive experience in Federal and state appellate and trial practice. He is a member of the Second, Third, Seventh, Eighth, and Ninth Circuits of the U.S. Court of Appeals, where he has briefed and argued numerous appeals. He recieved his B.A. from Colgate University in 1987, graduating with magna cum laude and Phi Beta Kappa honors, and he got his J.D. cum laude from the University of Missouri in 1990, where he was a member of the Order of the Coif.