Speaker Information
Jonathan Scott Posner is a Corporate Client Group Director, Financial Advisor and Senior Vice President at Morgan Stanley. Over the past 10 years, The Posner Group at Morgan Stanley has overseen over 400 clearance approvals (exclusive of 10b5-1 trading plans) for multiple issuers, representing over 7.2 million shares transacted and over $334 million in total market value. Jon entered the investment business in 1995 and has spent his entire career with Morgan Stanley. He has a bachelor’s degree from Brandeis University, graduating magna cum laude, a law degree from Boston University School of Law and a Masters of Business Administration with honors from Boston University’s Graduate School of Management. Jon manages the daily operations of The Posner Group, and focuses primarily on corporate and executive benefit services and stock plan services. In March of 2015, Jon was named to The Financial Times’ 2015 list of America’s Top 400 Financial Advisors.
Al Gasparic has over 38 years’ experience in the financial services industry and currently serves as Executive Director in Executive Financial (EFS) department at Morgan Stanley. Al oversees a staff that works directly with the Morgan Stanley’s Financial Advisors whose clients are owners of restricted stock or Affiliates/ Insiders, often referred to as C-Suite executives. These clients are holders of restricted, control and concentrated stock positions. His primary role is to assist the Financial Advisor and the client to define solutions that will meet the client’s financial needs while addressing the complex web of securities regulations and any applicable company insider trading policies.
Al worked in the American Stock Exchange ETF Marketplace, and was responsible for conducting public seminars for individual retail customers and registered representatives. Al was involved with the marketing and education of the AMEX listed Exchange Traded Funds, including Nasdaq-100 Index Tracking Stock, SPDRs-Standard & Poors Depositary Receipts on the S&P 500 Index, MidCap SPDRs-Standard & Poors MidCap 400 Index, Diamonds-the Dow Hones Industrial Average, iShares-Index Funds by Barclays Global Investors, streetTracks-State Street Capital Markets and VIPERS-Vanguard Index Participation Equity Receipts.
Prior to joining the AMEX, Al had various senior management roles at PaineWebber/UBS in direct sales and marketing of high net worth products. Al led the Restricted Securities Sales Department at Paine Webber where he accumulated extensive knowledge of restricted securities sales regulations and equity hedging/diversification strategies.
Al received his BS in Accounting & Economics from New Jersey City University.
Steve Giove is a partner at Shearman & Sterling, a leading global law firm. He regularly advises public companies on a wide variety of securities law and corporate matters. He is the co-founder of his firm’s corporate governance advisory group, which publishes an annual corporate governance survey. His practice is principally focused on counseling corporate clients with respect to strategic, governance, financing and public company matters. He is a frequent speaker on Rule 10b5-1 plan practices and insider trading policies.