Biography: Matthew Dougherty is a Compliance Manager at Huntington Financial Advisors (HFA). He has over a decade of experience in legal- and compliance-related matters in the financial services industry, including securities law and FINRA/SEC regulatory compliance. He also has half a decade of experience in Bank Secrecy Act/Anti-Money Laundering (BSA/AML) compliance. Mr. Dougherty has been asked to speak with state representatives regarding efforts by financial institutions to combat elder financial exploitation. He also helped develop the compliance framework for HFA’s elder financial exploitation protection process under FINRA Rules 2165 and 4512. Mr. Dougherty recently returned to HFA Compliance after a year managing a Corporate AML/BSA team responsible for, among other things, 314(b) requests, criminal subpoena and National Security Letter reviews, case investigations that led to SAR filings, and BSA/AML-initiated closures.