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Advisory Committee Will Collaborate with NASAA’s Senior Issues Committee

WASHINGTON, D.C. – (March 21, 2023) – The North American Securities Administrators Association (NASAA) today announced that eight new members have joined the Advisory Committee to the NASAA Senior Issues Committee.

“NASAA members have led the way in the effort to combat financial exploitation of older investors, and we look forward to continuing these efforts in close collaboration with members of our Advisory Committee. On behalf of NASAA, I want to thank this distinguished group for agreeing to serve on the Advisory Committee and for their insights as we work collaboratively to stop bad actors,” said Andrew Hartnett, NASAA President and Iowa Deputy Insurance Commissioner.

The new members include:

  • Susan Axelrod, Broker-Dealer Compliance Oversight Executive, Merrill Lynch
  • Jacqueline Blaesi-Freed, Assistant Director, Consumer Protection Branch, U.S. Department of Justice
  • Joanna Flanagan, Enforcement Counsel, Public Policy Counsel, Certified Financial Planner Board (CFPB)
  • Tom Mierswa, Executive Director, Branch Advisory Group, Legal and Compliance Division, Morgan Stanley
  • William Nelson, Associate General Counsel, Investment Advisers Association
  • Debbie Noury, Director, and Lead, Elder Financial Exploitation Investigations, Fidelity Investments
  • Danielle Tetrault, Vice President, Compliance and Chief Compliance Officer, IG Wealth Management Compliance
  • Jim Wrona, Vice President, Associate General Counsel, Office of the General Counsel (OGC) FINRA

“Our Advisory Committee members offer important insights about how we should apply our efforts to the work of the Committee,” said NASAA Seniors Issues Committee Chair Richard Szuch, New Jersey Bureau of Securities Enforcement Division Chief. “We welcome our new members and look forward to learning from them.”

The new members will join the following existing Advisory Committee members:

  • Lois E. Alexander, Market Regulation Manager II, National Association of Insurance Commissioners
  • Georgia Anetzberger, Adjunct Faculty in the Schools of Applied Social Sciences and Medicine, Case Western Reserve University and Private Practice
  • Marin Gibson, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association
  • David Godfrey, Director, Commission on Law and Aging, American Bar Association
  • Nancy Heffner, Director of Compliance, Lincoln Investment
  • Naomi Karp, Consultant on Aging, Law, and Policy
  • Judith Kozlowski, Senior Fellow, WISER
  • Ron Long, Wells Fargo Advisors (retired)
  • Lisa Schifferle, Senior Policy Analyst, Office for Older Americans, Consumer Financial Protection Bureau Office for Older Americans
  • Lori Schock, Director, Office of Investor Education and Advocacy, U.S. Securities and Exchange Commission
  • Jennifer Spoeri, Executive Director, National Adult Protect Services Association
  • Kathy Stokes, Director, Fraud Prevention Programs, AARP
  • Laura Tamblyn Watts, President and CEO, CanAge
  • Pamela Teaster, Professor and Director, Virginia Tech Center for Gerontology
  • Robin Traxler, Senior Vice President, Policy & Deputy General Counsel, Financial Services Institute
  • Geraldine Walsh, President, FINRA Investor Education Foundation, and Senior Vice President, FINRA Investor Education

NASAA formed the Senior Issues Committee to tackle a wide range of challenges confronting senior investors, regulators, and securities industry professionals. It seated the Advisory Committee in 2014. Since that time, the Committee and its Advisory Committee have collaborated to create policy and process designed to mitigate harm among older and at-risk investors.


About NASAA:

Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists of the securities regulators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, the 13 provincial and territorial securities regulators in Canada, and the securities regulator in México. For more information, visit

For More Information:

Fred Baldassaro, Director of Communications | 202-737-0900

Karen Grajales, Communications and Investor Outreach Manager  | 202-737-0900


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