Being part of a highly-regulated financial services industry requires the firm to employ individuals with specialized talents that include reviewing, interpreting and applying federal and state laws and regulations, establishing and overseeing the firm’s supervisory processes, conducting examinations and reviews, and providing in-house legal resources.

Law and Compliance

Law

  • Jane MatoesianVice President, Managing Counsel

    Phone: 314-480-1170
    Email: jane.matoesian@nullbenjaminfedwards.com

    Jane Matoesian is Vice President and Managing Counsel in the Law Department. With more than 30 years of legal experience, she has worked nearly 25 years in a legal capacity in the financial services industry. Her practice has included representing and counseling clients in civil litigation, enforcement matters, internal investigations, compliance, and general corporate affairs. Jane joined Benjamin F. Edwards & Co. in 2011 as vice president in the Law Department and currently serves as Managing Counsel handling day‐to‐day legal activities of the firm.

    Jane is a 1985 graduate of the Dedman School of Law at Southern Methodist University and received her B.A. cum laude from the University of Notre Dame in 1982. Prior to beginning the active practice of law, she served as Law Clerk to the Honorable Joseph H. Goldenhersh of the Illinois Supreme Court. Jane is active in industry groups and has served as a member of and speaker for various industry and legal organizations, including FINRA, the SIFMA Law & Compliance Division, and the Bar Association of Metropolitan St. Louis.

    Learn more about Law and Compliance.

    Vice President, Managing Counsel
  • Jerome “Jerry” J. WingbermuehleAssociate Vice President and Manager, Legal Services
    Associate Vice President and Manager, Legal Services

Compliance

  • Robert DanielCompliance Associate - Surveillance
    Compliance Associate - Surveillance
  • Sandra GjerswaldCompliance Associate
    Compliance Associate
  • Lou HowellAssociate Vice President and Compliance Associate – Surveillance
    Associate Vice President and Compliance Associate – Surveillance
  • Alex LawsonCompliance Associate
    Compliance Associate
  • Peter McCarthyVice President and Manager, Regulatory Initiatives
    Vice President and Manager, Regulatory Initiatives
  • Dan O’VeryCompliance Associate, Communications Approvals
    Compliance Associate, Communications Approvals
  • Bob PatrickAssociate Vice President and Team Leader-Sales & Supervisory Practices

    Bob is associate vice president in the sales practice and communications approval areas of the Compliance department at Benjamin F. Edwards & Co. Since joining the firm in 2012, his responsibilities include reviewing communications, branch office inspections, training supervisors and maintaining firm policies and procedures.

    Bob has more than 30 years of experience in the financial services industry, including insurance sales, all areas of operations and compliance. He has worked with insurance companies, options clearing companies and broker-dealer firms.

    Bob has his Series 4, 7, 8, 24, 63 and 65 licenses. He lives in Glen Carbon, IL with his wife, Beth, and four children. Bob enjoys spending time with his family and his hobbies include playing golf, tennis, cycling and reading.

    Associate Vice President and Team Leader-Sales & Supervisory Practices
  • Jennifer SchultzeAssociate Vice President and Compliance Associate
    Associate Vice President and Compliance Associate
  • Katelyn StevensAssociate Vice President and Manager, Surveillance

    Katelyn joined Benjamin F. Edwards & Co. in 2015 as associate vice president and team leader of Surveillance. She brings over 10 years of industry experience to the firm focused on surveillance with over five of years at FINRA as a Trading and Market Making Surveillance Compliance Examiner. Katelyn spent the last five years implementing a new trade surveillance system and creating surveillance reports.

    She holds her Series 7, 9/10, 24, and 66 licenses. Outside of work, Katelyn likes to spend time with her husband, three children and two French Bulldogs.

    Associate Vice President and Manager, Surveillance
  • Bill J. WisdomSenior Vice President and Chief Compliance Officer

    Bill is senior vice president and chief compliance officer at Benjamin F. Edwards & Co. Joining the firm in 2009, his primary responsibilities include overseeing the firm’s compliance programs as well as developing and maintaining written supervisory procedures, reviewing retail communications and managing branch office reviews. He is uniquely positioned to offer insight in these critical areas, having spent more than 25 years in the financial services industry.

    Bill is a graduate of Webster University with a Bachelor of Arts degree in Education and Music. He holds a number of industry licenses, is a recipient of the FINRA Institute/Wharton School Certified Regulatory & Compliance Professional (CRCP) designation, and serves as a member of the Municipal Securities Rulemaking Board (MSRB) Professional Qualifications Advisory Committee. In his free time, he enjoys spending time with his family, woodworking and reading.

    Senior Vice President and Chief Compliance Officer