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Investor Advisory Group Members

Brandon Becker
Executive Vice President and Chief Legal Officer
TIAA-CREF
Washington, DC
Brandon Becker is Executive Vice President and Chief Legal Officer at TIAA-CREF, where he leads the legal, compliance, government relations, and internal audit functions. Earlier in his career, he was the Director of the Division of Market Regulation (now Trading and Markets) at the U.S. Securities and Exchange Commission, where he served from 1976 to 1996. He also was a partner in the Securities Group at the WilmerHale law firm, and chaired the firm's Broker-Dealer Compliance and Regulation Practice Group.
Robert T. Buettner
Managing Director
Newbrook Capital Advisors
New York, NY
Robert Buettner is Managing Director of Newbrook Capital Advisors, where his primary responsibilities include developing and maintaining a database of investment ideas, conducting fundamental research on long and short investments, and monitoring the fund’s portfolio. Mr. Buettner has worked for more than 25 years as a money manager and fiduciary. Before joining Newbrook Capital Advisors, Mr. Buettner served as senior analyst at Diamondback Capital Management’s Center Portfolio which manages assets ranging from $1 billion to $3 billion. Prior to that, he was Portfolio Manager at Diker Management, LLC.
Mercer E. Bullard
Associate Professor of Law and Jessie D. Puckett, Jr., Professor, University of Mississippi School of Law; Vice President, Plancorp, LLC; Founder and President, Fund Democracy, Inc.
Oxford, MS
Mercer Bullard is an Associate Professor of Law and the Jessie D. Puckett, Jr Professor at the University of Mississippi School of Law, where he teaches courses on securities regulation, banking regulation, corporations, corporate finance, as well as law and economics. He is also the Founder and President of Fund Democracy Inc., an investor advocacy organization, and Vice President with the wealth management firm Plancorp Inc. Previously, he served on the Securities and Exchange Commission’s Investment Advisory Committee and currently serves on the Public Policy Council of the Certified Financial Planner Board of Standards.
Curtis L. Buser
Managing Director and Chief Accounting Officer
The Carlyle Group
Washington, DC
Curtis L. Buser is the Chief Accounting Officer and a Managing Director at The Carlyle Group where he is responsible for the financial reporting for the firm and its funds. Prior to joining The Carlyle Group, he spent 19 years in public accounting, working for two years as an audit partner with Ernst & Young, LLP, and 17 years at Arthur Andersen, LLP. Formerly, he served on the Financial Accounting Standards Board’s Advisory Council.
T. Grant Callery
Former Executive Vice President and General Counsel
Financial Industry Regulatory Authority (FINRA)
Bethesda, MD
Grant Callery is the former Executive Vice President and General Counsel at the Financial Industry Regulatory Authority (FINRA) where he served as the principal advisor to FINRA’s Board of Governance and executive management on corporate and governance matters. He is a member of the Board of Trustees for Marietta College, and serves on the Council of Board Chairs, an advisory group to the Association of Governing Boards of Universities and Colleges.
Joseph V. Carcello
Ernst & Young Professor, Department of Accounting and Information Management, and Co-Founder and Director of Research, Corporate Governance Center
University of Tennessee
Knoxville, TN
Joseph V. Carcello is the Ernst & Young Professor in the Department of Accounting and Information Management at the University of Tennessee. He also is Co-Founder and Director of Research at the University of Tennessee’s Corporate Governance Center. He has performed extensive research on corporate governance, primarily related to audit committees, and has consulted with, and provided training to, corporate audit committees. Dr. Carcello also has served as an expert in judicial proceedings to evaluate required corporate governance reforms at public companies. He co-authored a study that was sponsored by the Committee of Sponsoring Organizations (COSO) on fraudulent financial reporting in the United States between 1987 and 1997, and was a member of the team that conducted a COSO-sponsored study of fraud from 1998 through 2007. Dr. Carcello testified before the U.S. Treasury Department's Advisory Committee on the Auditing Profession, and has served as a member of the PCAOB Standing Advisory Group, which advises the Board on standard-setting activities. He is a certified public accountant, certified management accountant and certified internal auditor.
Norman J. Harrison
Senior Managing Director
FTI Consulting
Washington, DC
Norman J. Harrison is Senior Managing Director of FTI Consulting, based in Washington, DC. He advises companies on matters relating to internal investigations; compliance monitoring; corporate governance; SEC and other regulatory enforcement matters; design and evaluation of compliance programs; enterprise risk assessments; and SEC and DOJ settlement fund administration. Mr. Harrison has provided counsel to investment funds, as both an outside adviser and an officer, on a wide range of operations and compliance issues. He has more than 25 years' experience in these and related areas. Before joining FTI, Mr. Harrison was a senior managing director of Richard C. Breeden & Co. and Breeden Capital Management LLC, and previously an investment banker and a member of the corporate investigative practice group at Paul, Weiss, Rifkind, Wharton & Garrison LLP. He also was an adjunct professor at the Washington College of Law at American University, teaching corporation law.
Michael J. Head
Managing Director of Corporate Audit
TD AMERITRADE Holding Corporation
Omaha, NE
Michael J. Head is Managing Director of Corporate Audit at TD AMERITRADE Holding Corporation, and has 29 years' experience in audit, finance, and accounting. He also advises TD AMERITRADE's Corporate Risk Management Steering Committee and supporting subcommittees on governance, risk, and control issues, including the Global Information Protection Program Oversight Committee and Brokerage Risk Committee. Previously, he worked in various audit and accounting capacities at PricewaterhouseCoopers, KPMG, The Guarantee Life Companies Inc., NationsBank, FirsTier Financial, Inc., and Standard Havens, Inc. He is also Director of The Institute of Internal Auditors, serving on and chairing the International Board's Audit Committee. Mr. Head is co-author of the 2007 textbook, “Internal Auditing: Assurance and Consulting Services,” published by The Institute of Internal Auditors Research Foundation. He is a certified internal auditor, certified public accountant, certified management accountant, chartered bank auditor, and a certified information systems auditor.
Peter H. Nachtwey
Chief Financial Officer
Legg Mason, Inc.
Baltimore, MD
Peter H. Nachtwey is Chief Financial Officer at Legg Mason, Inc. and a member of the firm's Executive Committee. He is responsible for the areas of finance, investor relations, corporate communications, human resources, operations and technology. Previously, he was Managing Director and Chief Financial Officer of The Carlyle Group where he had responsibility for the firm's investor reporting, internal controls and financial management, and served on the firm's Operating Committee. Prior to joining Carlyle, Mr. Nachtwey was a partner at Deloitte & Touche, and served as the Northeast Regional Managing Partner for the investment management industry.
Barbara L. Roper
Director of Investor Protection
Consumer Federation of America
Washington, DC
Barbara L. Roper is Director of Investor Protection at the Consumer Federation of America, where she is a consumer advocate for retail investors. Ms. Roper was involved in the legislative effort leading to passage of the Sarbanes-Oxley Act. She is a member of the Investor Advisory Committee of the U.S. Securities and Exchange Commission and the PCAOB Standing Advisory Group, which advises the Board on standard-setting activities.
Lawrence M. Shover
Chief Investment Officer
Solutions Funds Group
Lincolnshire, IL
Lawrence Shover is the Chief Investment Officer and founding partner at Solutions Funds Group, a futures mutual fund. He has over 25 years of experience as a commodity, equity, currency and derivative trader. He has served as president, CEO, senior vice president of trading, and senior advisor at several commodity and option firms, as well as hedge funds. Mr. Shover recently completed the second edition to his 2010 book, “Trading Options in Turbulent Markets” (Wiley). He appears regularly as market commentator and expert on CNBC, Bloomberg Television, Fox Business and others.
Damon A. Silvers
Director of Policy and Special Counsel
AFL-CIO
Washington, DC
Damon A. Silvers is the Director of Policy and Special Counsel for the AFL-CIO. He also is the Deputy Chair of the Congressional Oversight Panel for The Troubled Asset Relief Program. Previously, he served as the Chair of the Competition Subcommittee of the U.S. Treasury Department's Advisory Committee on the Auditing Profession and as a member of the U.S. Treasury Department's Investor's Practice Committee of the President's Working Group on Financial Markets. Prior to working for the AFL-CIO, Mr. Silvers was a law clerk at the Delaware Court of Chancery for Chancellor William T. Allen and Vice-Chancellor Bernard Balilk. Currently, Mr. Silvers is a member of the Investor Advisory Committee of the Securities and Exchange Commission and the PCAOB Standing Advisory Group, which advises the Board on standard-setting activities.
Anne Simpson
Senior Portfolio Manager, Global Equity
California Public Employees' Retirement System (CalPERS)
Sacramento, CA
Anne Simpson is Senior Portfolio Manager, Global Equities, at the California Public Employees' Retirement System (CalPERS), where she heads the corporate governance program. Previously, she was the first Executive Director of the International Corporate Governance Network, founded to raise standards of corporate governance worldwide. Earlier, she was head of the Global Corporate Governance Forum at the World Bank, and, for 10 years, was joint Managing Director of PIRC Ltd, a U.K.-based investment firm advising institutional investors. Ms. Simpson is a Senior Faculty Fellow at the Yale School of Management, and author of "Fair Shares: the Future of Shareholder Power and Responsibility," published by Oxford University Press, and "The Greening of Global Investment," published by The Economist.
Tony Sondhi
President
A.C. Sondhi & Associates, LLC
Maplewood, NJ
Tony Sondhi is President of A.C. Sondhi & Associates, LLC, a financial advisory services company. He also serves on the Emerging Issues Task Force of the Financial Accounting Standards Board (FASB), its Agenda Committee, and various Working Groups. Previously, he was on the Global Financial Reporting Advocacy Committee and the Financial Accounting Policy Committee of the CFA Institute; the Accounting Standards Executive Committee (AcSEC) of the American Institute of Certified Public Accountants (AICPA); the FASB Task Force on Accounting for Impairments of Long-Lived Assets; and the Statement of Cash Flows Steering Committee of the International Accounting Standards Committee. Mr. Sondhi also was an adviser to the FASB on the comparison between U.S. and International Financial Reporting Standards. He is co-author of the 2006 to 2009 editions of the CCH "Revenue Recognition Guide," and "The Analysis and Use of Financial Statements," third edition.
Judge Stanley Sporkin
Retired
Washington, DC
Stanley Sporkin is a former U.S. District Judge for the District of Columbia. He retired in 2001. Judge Sporkin began working for the U.S. Securities and Exchange Commission in 1961, and served as Director of the Division of Enforcement from 1974 to 1981. Later, he was General Counsel of the Central Intelligence Agency, and a partner at Weil, Gotshal & Manges LLP. Currently, Judge Sporkin serves as Ombudsman for British Petroleum North America. He also provides mediation and arbitration services. In addition, Judge Sporkin provides counseling services on regulatory and financial matters.
Robert M. Tarola
President
Right Advisory LLC
Washington, DC
Robert M. Tarola is President of Right Advisory LLC, on the Board of Directors of Legg Mason's Mutual Funds and NASDAQ-listed TeleTech Holdings, Inc., as well as the Chief Financial Officer and Treasurer of Howard University. Previously, he was the Chief Financial Officer of the NYSE-listed company, W. R. Grace & Co., and MedStar Health, Inc., where he was responsible for all financial functions and investor relations. Mr. Tarola spent 22 years at Price Waterhouse LLP, where he was Regional Managing Partner for a strategic industry segment, a Partner in the National SEC Services Group, and an Engagement Partner for major client accounts. Mr. Tarola served on the PCAOB Standing Advisory Group from 2007 to 2008. He is a Certified Public Accountant and a former member of the governing council of the American Institute of CPAs.
Lynn E. Turner
Managing Director, LitiNomics and former SEC Chief Accountant
Denver, CO
Lynn E. Turner served as the Chief Accountant at the U.S. Securities and Exchange Commission (SEC) from 1998 to 2001. After leaving the SEC, he was a Professor of Accounting and Director of The Center for Quality Financial Reporting at Colorado State University, Managing Director of Research at Glass Lewis & Co., and Senior Advisor with Kroll Zolfo Copper, the financial consulting subsidiary of Kroll, Inc. He also worked as Senior Advisor and Managing Director in the forensic accounting practice of LECG, an expert services and consulting firm. Currently, he is a Managing Director at LitiNomics, a firm that provides expert research, valuations, analyses, and testimony in complex commercial litigations. Prior to his tenure at the SEC, Mr. Turner spent 20 years at Coopers & Lybrand (now PriceWaterhouseCoopers) where he was a National SEC Review Partner and head of the National High Technology Audit Practice. Mr. Turner also served as a member of the U.S. Treasury Department’s Advisory Committee on the Auditing Profession. He is a member of the Investor Technical Advisory Committee of the Financial Accounting Standards Board (FASB), and a former member of the PCAOB Standing Advisory Group, which advises the Board on standard-setting activities.
Gary G. Walsh
Principal and Portfolio Manager
Luther King Capital Management
Fort Worth, TX
Gary G. Walsh is a Principal and Portfolio Manager at Luther King Capital Management, an investment counseling firm with $10 billion under management. Prior to joining LKCM, Mr. Walsh was an adjunct professor at Texas Christian University, where he taught securities analysis. Mr. Walsh began his career working for Arthur Andersen and later for The Dexter Corporation in the corporate finance and internal audit. He is a certified public accountant and a certified financial analyst.
Ann L. Yerger
Executive Director
Council of Institutional Investors
Washington, DC
Ann L. Yerger is Executive Director of the Council of Institutional Investors (CII), a member organization that seeks to address investment issues affecting the size and security of pension plan assets. She joined CII in 1996 as the Director of Research Service, and was named Executive Director in 2005. Before joining ICC, Ms. Yerger was Deputy Director of the Corporate Governance Service of the Investor Responsibility Research Center. She spent five years in the domestic corporate banking division of Wachovia Bank in Winston-Salem, N.C., and Atlanta, Ga. Ms. Yerger is a chartered financial analyst.
   
 

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