Seton Hall University
2014 Capital Markets Colloquium

Jim and Judy O'Brien Capital Markets Colloquium
Wednesday, February 26, 2014

Register here for the workshops you wish to attend including the lunch speaker (lunch is provided). This is an excellent opportunity to mix with industry practitioners and discover just how broad and complicated the capital markets industry has become. There are workshops on investments as well as corporate finance.

The day begins in the trading room with the market open and bagels at 8:45. There is a morning set of workshops starting at 10. Most morning workshops repeat at 11. At mid-day, Dean Strawser will introduce our keynote speaker, Scott Parker, CFO of CIT. Please register for the lunch and speaker event and mingle with guests and practitioners. The afternoon workshops start at 1:30. These workshops repeat at 2:30. The lively market close discussion is in the Atrium at 3:30, with cookies and is open to all. At 5:30, the Investment Club is running a student workshop on equity analysis techniques. The evening will end with a movie and pizza event in the trading room.

If you need to log your attendance for class credit, there will be a sign-in sheet at the event information desk located on the 4th floor Atrium.

Note: This Is a Stillman Passport Event.


8:45 - 9:45 a.m. A. Market Opening Bell, TR 559
In the trading room with bagels and coffee we will prepare for the open by discussing overseas financials, economic trends, and market news from the past 24 hours. Watch the pre-market metrics and the swings through the opening bell. Follow earnings releases and hot overnight news into the opening roar.

Scott Rothbort, Founder, Lakeview Asset Management and Scott Fullman, Senior Managing Director and Chief Strategist, Olympian Group

10 - 10:55 a.m. Round I Workshops
B. Where Are the Jobs in Finance? JH Atrium (Bring Resumes)

Three long-time financial services professionals will discuss the changing landscape for employment opportunities in the industry across the nation and world. (This presentation runs once from 10-10:55 a.m.)

Scott Fullman, Senior Managing Director and Chief Strategist, Olympian Group; Scott Quinto, Vice President, Credit Suisse and Scott Rothbort, Founder, Lakeview Asset Management

C. Gender Differences in Investment Making Decisions, Lib 669

Do women and men think and act differently when making investment decisions? In this workshop, behavioral economist and fund manager Diane Garrick will explore gender difference in investing.

Diane Garnick, Founder & CEO, Clear Alternatives LLC

D. Corporate Functions of a Financial Services Institution … What Makes a Financial Services Organization Tick?
, eCNT 528

Workshop will describe the corporate functions within a financial services company, with a focus on Treasury and Investor Relations. The discussion will center on the intricacies and challenges of serving in these groups, the expertise developed and the role these areas play in partnering with the business and making the organization tick.

Barbara Callahan, Senior Vice President and Head of Investor Relations, CIT

E. And Then There Were None: The Death of the Investment Bank, Dean 558

In the wake of the Financial Crisis, investment banks, once viewed as the pre-eminent financial institutions in the world, have gone the way of the dinosaur from a legal perspective and, to a large extent, from a business perspective. The speaker will examine the rise of commercial banks and the decline and fall of investment banks, providing an insider’s perspective into recent activities, analyzing the reasons behind the shift, focusing, in particular, on little known flaws in the investment bank business model, and the implications of this development.

Peter Kelly, Former General Counsel, Merrill Lynch Global Operating Businesses

F. Tracking Performance of Leveraged Energy Exchange-traded Funds, JH 117

With increasing demand for hedging, investing and portfolio diversification, leveraged energy exchange-traded funds (LEETFs) provide producers, consumers, investors and portfolio managers with liquid and flexible tools to gain leveraged and/or inverse exposure to the energy commodities, such as crude oil. This presentation discusses our research findings on the tracking performance of the stock-based and futures-based LEETFs with respect to the returns on their underlying indices and the energy commodity. (This presentation runs once from 11 – 11:55 a.m.)

Hongfei Frank Tang, Assistant Professor of Finance, Seton Hall University and Xiaoqing Eleanor Xu, Professor of Finance, Seton Hall University

11 - 11:55 a.m. Round II Workshops
(Repeat of Round I Workshops, C thru F only)

Noon - 1:25 p.m. G. Luncheon Speaker: Career Development and CIT - A Case Study, Atrium

CIT, the only bank holding company to emerge from bankruptcy, tells the story of its strategic reorganization and the challenges it faced. The presentation links key themes and lessons learned to what you need to know as you develop your career.

Scott Parker, Executive Vice President and Chief Financial Officer, CIT

1:30-2:25 p.m. Round III Workshops
H. Financial Planning and Analysis, eCNT 528

A position focusing on Financial Planning & Analysis can lead to a successful and rewarding future in finance. This workshop will focus on what this career path may entail and some critical skill sets needed as well as the highlights and lowlights of this field.

Randi Mathios, Director, Financial Planning and Analysis, Chemtrade

I. Institutional Investing – The Buy Side with $14B, MRC 677

How do you invest $14 billion to help fund the pension benefits for 65,000 employees and retirees? Learn about the day-to-day challenges and rewards of managing pension fund assets for the long term.

Pat Haverland, CFA, Vice President, Pension Fund Management, Siemen’s Capitol Company, LLC

J. Mergers and Acquisitions, Dean 558

Mergers and Acquisitions are an important part of many companies’ growth plans. It can transform a company overnight…for better or worse.

Chris Rausch, CPA, CFO of Somerset Tire Service, Inc.

K. We Are in the Middle of a Secular Bull Market, Why?,
TR 559

There are economic forces changing the shape of the normal boom/bust cycle of the markets. Can these forces drive us into another bubble pumped by all that cash more aggressively seeking returns?

Tony Dwyer, Senior Managing Director/U.S. Portfolio Strategist

L. Good Wealth: Using Catholic Social Thought to Link Wealth Creation to Poverty Alleviation,
JH 132

Workshop will look at how wealth can increase or decrease poverty, and using Catholic social thought as a guide, develop a broader understanding of wealth that links wealth to well-being.

Charles Clark, Professor and Senior Fellow, Vincentian Center, Economics and Finance, The Peter J. Tobin College of Business, St. John’s University

2:30-3:25 p.m. Round IV Workshops
(Repeat of Round III Workshops)

3:30 - 4:30 p.m. Market Closing Bell - Atrium

No registration is required.

4:30 - 5:30 p.m. M. Finding Value in Broken Stocks and Unbroken Companies, TR 559

Picking stocks, both finding the winners early and the losers before they find you, can be aided by a number of analytic techniques available to any student just using the services already available in the Stillman trade lab.

Matthew Gaughan, Stillman School of Business Student and Vonn N. Johnson, Stillman School of Business Student

5:30 - 8 p.m. N. Pizza and a Movie - TR 559

(No need to register for movie night, show up and relax, trade notes on day)


The Capital Markets Colloquium takes place on Wednesday, February 26. All sessions take place in Jubilee Hall.


  • HFA, the Hedge Fund Association
  • Net Impact
  • Micah Center for Business Ethics and Economic Justice
  • Finance Club
  • CFA University Recognition Program

2015 Colloquium Save-the-Date:

Wednesday, February 25, 2015

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