Financial Regulation and Enforcement Symposium 2013

A Conversation with Regulators, Prosecutors, and Blue Sky Authorities

New York Athletic Club
May 8, 2013

Please join us Wednesday, May 8, 2013 for a complimentary program designed to foster a dialogue between enforcement and regulatory agencies and the financial institutions that they oversee.

May 8, 2013

1:30 p.m. - 2:00 p.m.

2:00 p.m. - 5:30 p.m.
CLE Credit Provided

5:30 p.m. - 7:00 p.m.

New York Athletic Club*
180 Central Park South
New York, NY 10019
Phone: 212.247.5100
*Jacket Required

The program, which will address issues of interest to the legal and compliance departments of banks, broker-dealers, hedge funds, and insurance companies, will consist of three presentations:

Panel I:  "Criminal and Civil Securities Enforcement: New Faces in New Places"

  • Moderator: Jeff Kern, Sheppard Mullin
  • Richard Best, Chief Counsel, Department of Enforcement, Financial Industry Regulatory Authority
  • MaryJean Bonadonna, Chief Compliance Officer, AXA Advisors, LLC
  • Sarah Coyne, Chief, Business and Securities Fraud Section, United States Attorney's Office for the Eastern District of New York
  • Russel D. Francisco, Director, Assistant General Counsel, Bank of America/Merrill Lynch
  • David Massey, Securities and Commodities Task Force, United States Attorney's Office for the Southern District of New York
  • Marc B. Minor, Chief, Investor Protection Bureau, New York State Attorney General's Office

Keynote Address: Matt Taibbi, Contributing Editor and Finance & Crime Reporter, Rolling Stone Magazine

Panel II: "The Shared Challenge of Cybersecurity"

  • Moderator: Kevin Puvalowski, Sheppard Mullin
  • Thomas G. A. Brown, Deputy Chief for Cyber of the Complex Frauds Unit, United States Attorney's Office for the Southern District of New York
  • Thomas Doheny, Senior Supervising Examiner, Federal Reserve Bank of New York
  • Peter Lefkowitz, Vice President, Chief Privacy Officer, Oracle
  • Stuart McClure, Founder & CEO, Cylance, Inc.
  • Cristina M. Posa, Deputy Chief of National Security and Cybercrime, United States Attorney's Office for the Eastern District of New York
  • David M. Spring, Managing Director, Compliance, Bank of America/Merrill Lynch

About the hosts:

The New York External Fraud Committee, the Long Island Fraud and Forgery Association and the Mid-Hudson Financial Security Officers Association are joint law enforcement/bank compliance groups that meet regularly to discuss issues of common interest, including compliance developments, suspicious activity reporting, fraud and money laundering trends, and law enforcement/private sector coordination.

This program has been approved in accordance with the requirements of the New York State Continuing Legal Education Board for a maximum of 3.5 credit hours which may be applied toward the Areas of Professional Practice requirement, and is suitable for both transitional and non-transitional attorneys. Sheppard, Mullin, Richter & Hampton LLP is a State Bar of New York approved MCLE provider.

Questions? Contact Joanna Beckett at or 212.634.3076.