“At our annual meeting each year, we honor those industry volunteers who have contributed in an extraordinary way to the success of our many industry and SIA initiatives,” said SIA Chairman, Daniel Ludeman. “Tonight we present the SIA distinguished Leadership Award to those whose accomplishments directly reflect SIA’s values and ideals – that we are committed first and foremost to the best interests of our clients.”
Individuals receiving the SIA awards are:
Stuart Bowers, Senior Vice President, Legg Mason Wood Walker
Bowers is recognized for his work as Chairman of SIA’s Operations Committee. In this position, Bowers has overseen and actively participated in the efforts of the Institutional Subcommittee focusing on improving the efficiencies of the institutional trade process.
Robert Dinerstein, Vice Chairman, Americas, UBS Investment Bank, and Senior Corporate Counsel
Dinerstein is recognized for his participation in a host of SIA groups, including SIA’s International Trade and Investment Policy Committee and International Advisory Council. He also previously served as Chairman of SIA’s Federal Regulation Committee and Bank Holding Company Committee.
Steven Kessler, Chief Compliance Officer, SAC Capital Advisers
Kessler is recognized for his work as Counsel to SIA’s Securities Lending Division Executive Committee as well as his time spent as Chairman of SIA’s Regulation SHO Task Force, where he worked tirelessly on the issues surrounding the SEC’s new short sale rules.
Patrick Kidney, Director of Money Laundering Prevention Compliance, Lehman Brothers Inc.
Kidney is recognized for his instrumental work on SIA’s Anti-Money Laundering Committee on international anti-money laundering issues. Kidney has been responsible for keeping the committee abreast of key anti-money laundering developments occurring outside the U.S.
Karen O’Toole, Associate General Counsel, Fidelity Investments
O’Toole is recognized for her efforts in voicing SIA’s anti-money laundering efforts. She has helped lead SIA in providing feedback to the regulators on the customer identification and verification rule, and in obtaining much –needed compliance relief from the regulators on key aspects of that rule.
Robert Sablehaus, Executive Vice President and Director of the Private Client Group, Legg Mason Wood Walker
Sablehaus is recognized for his efforts on the Sales and Marketing Committee, where he has been a dependable voice for the committee and SIA for ten years. He has represented the committee and SIA in many meetings with regulators, especially those related to the SEC’s Mutual Fund Rule Proposals.
John Sprung, First Vice President and Assistant General Counsel, Merrill Lynch & Co., Inc.
Sprung is recognized for his service as Chairman of the SIA New York District’s Economic Education Foundation where he oversees the Foundation’s efforts in promoting investor education in schools throughout New York and New Jersey.
Gerald Tankersley, Senior Vice President, Lebenthal Division, Advest Inc.
Tankersley is recognized for his tireless efforts in helping SIA shape its responses to regulatory proposals and questions. Furthermore, he has been most helpful and effective in helping SIA provide regulators with sound alternatives to their very complex rule proposals on these subjects.
