Join us for our complimentary, invitation-only enforcement and litigation briefing featuring the views of senior SEC enforcement officials, DOJ prosecutors and defense counsel who have been directly involved in shaping the contours of securities enforcement.
The agenda reflects the current focus on what’s next AND how present and past perspectives inform where we are going. Many of the practitioners on the faculty served formerly in senior government positions in the Division of Enforcement, SEC or in U.S. Attorney’s Offices, SDNY and EDNY.
Among the notable hot topics we will cover are:
- DOJ and SEC enforcement priorities
- What qualifies as harm to retail investors?
- Tension between expanding private credit and private equity into the pension and retirement plans/retail market
- Financial reporting and accounting fraud investigations
- Cryptocurrency and digital assets de-regulation
- The sanctions process
- Insider trading
- Asset management enforcement priorities
- Increasing role of state AGs
- Cooperation, self-reporting and expectations established by DOJ/SEC programs and incentives
- The continuing impact of Whistleblowers on investigations and enforcement
- Regulation by enforcement
- Wells and pre-Wells processes at SEC
- Future of AI enforcement
CLE and CPE have been applied for.
Faculty from the Government
Alixandra E. Smith, Chief, Criminal Division, United States Attorney’s Office for the Eastern District of New York
Nicolas Roos, Co-Chief, Securities and Commodities Fraud Task Force, United States Attorney’s Office for the Southern District of New York
Sam Waldon, Deputy Director of Enforcement, Securities and Exchange Commission, Washington, D.C.
Patrick Zielinski, Supervisory Special Agent, Federal Bureau of Investigation, New York Field Office
Other panelists from Law Firms & Corporate Law Departments, Advisors
Antonia M. Apps, Former Regional Director, U.S. Securities and Exchange Commission, New York
Anita B. Bandy, Partner, Skadden, Arps, Slate, Meagher & Flom LLP, Washington, D.C.
Aleah Borghard, Associate General Counsel, Citadel Securities, New York
Raja Chatterjee, Vice President, Risk, Investigations, & Analytics Practice, Charles River Associates, New York
Erica Crosland, Director and Associate General Counsel, Investigations, Robinhood, Washington, D.C.
Andrew Dean, Partner, Weil, Gotshal & Manges, Former Co-Chief, Asset Management Unit, Enforcement Division, U.S. Securities and Exchange Commission, New York
Daryl Griglak, Counsel, Corporate Litigation & Enforcement, IBM, Armonk, NY
Scott Hartman, Partner, Quinn Emanuel Urquhart & Sullivan, LLP, New York; Former Chief, Securities and Commodities Fraud Task Force, U.S. Attorney’s Office for the Southern District of New York
Jacquelyn M. Kasulis, Partner, Kirkland & Ellis LLP; Former Acting U.S. Attorney for the EDNY, New York
A. Kristina Littman, Partner, Co-chair of the Securities Enforcement and Willkie Digital Works Practice Groups, Willkie Farr & Gallagher LLP; Former Chief, Crypto Assets and Cyber Unit, Division of Enforcement, U.S. Securities and Exchange Commission, Washington, DC (Co-Moderator)
David Markowitz, Global Co-head of Litigation and Regulatory Proceedings, Goldman Sachs, New York
Peter Nolan, Vice President, Practice Leader of Risk, Investigations & Analytics, Charles River Associates, New York
Lorin L. Reisner, Partner, Co-Chair of the White Collar and Regulatory Defense Practice, Paul, Weiss, Rifkind, Wharton & Garrison LLP, New York; Former Chief, Criminal Division, SDNY; Deputy Director of Enforcement, SEC, Washington, D.C (Co-Moderator)
Richard C. Tarlowe, Partner, Deputy Chair, White Collar and Regulatory Defense Practice, Paul, Weiss, Rifkind, Wharton & Garrison LLP, New York
