For nearly nine years Barb was a Senior Securities Examiner for the Wisconsin Department of Financial Institutions, Division of Securities. Activities included assuring securities industry firm and representative compliance with securities laws and fair business practices through examinations of broker-dealers and investment advisers. Duties also involved investigating and resolving investor complaints, administering Wisconsin Statutes and Rules relating to licensing and regulation, and reviewing investment adviser and broker-dealer agreements, forms and procedures. Prior to joining DFI, Barb was an Adjudicator-(Bilingual) for the Wisconsin Department of Workforce Development, Division of Unemployment Insurance for three years. Barb investigated unemployment claims and applied Wisconsin Statutes and Rules as they pertain to unemployment, specializing in migrant worker fraud.
Committee Assignments. For the North American Securities Administrators Association, Inc., Barb served one year with the Investor Education Ethnic Diversity Group, focusing on educating minority groups on types of investments available and the stock market in general. Barb also served 2 years on the Investment Adviser Operations Group creating a Uniform Investment Adviser Examination Module to be used by all of the state securities administrators for compliance and regulatory reviews.
Professional and Civic Activities
- As a selected participant in the International Studies Program, Barb lived with a local family in Oaxaca during the summer of 1993, sharing in their culture and lives, while attending their local university, Universidad Autonomo Benito Juarez, Centro de Idiomas, Oaxaca, Mexico