Overview

2019 Program Preview:

SIFMA C&L Annual Seminar Program

Overview

2019 Program Preview:

Program

3:00pm – 8:00pm

Registration Desk Hours

3:00pm – 6:00pm

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning Lab, update your professional headshot and indulge in a specialty…

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning Lab, update your professional headshot and indulge in a specialty coffee break!

6:30am – 7:30am

7:00am – 2:00pm

Registration Desk Hours
Exhibition Hall Hours

7:00am – 7:30am

7:00am – 2:00pm

Sponsored by: KPMG LLP  

Sponsored by:

KPMG LLP

 

8:00am – 10:00am

General Session

8:00am – 8:10am

Participants

Elaine Mandelbaum, Kenneth L. Miller

Speakers

Elaine Mandelbaum

Managing Director and General Counsel of Litigation and Regulatory Enforcement

Citi

Elaine Mandelbaum’s Biography

Kenneth L. Miller

Deputy General Counsel

Bank of America

Seminar Co-Chairperson

Kenneth L. Miller’s Biography

8:10am – 8:40am

Participants

Robert W. Cook, Ira D. Hammerman

Speakers

Robert W. Cook

President and Chief Executive Officer

FINRA

Robert W. Cook’s Biography

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

8:40am – 10:00am

Participants

Eric F. Grossman, Stephanie Avakian, Robert Khuzami, Steven Peikin, Susan A. Schroeder

Moderator

Eric F. Grossman

Executive Vice President and Chief Legal Officer

Morgan Stanley

Eric F. Grossman’s Biography

Panelists

Stephanie Avakian

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

Stephanie Avakian’s Biography

Steven Peikin

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

Steven Peikin’s Biography

Susan A. Schroeder

Executive Vice President and Head of Enforcement

FINRA

Susan A. Schroeder’s Biography

10:00am – 10:30am

Networking Break

10:30am – 11:45am

Participants

Theodore R. Lazo, Howard Kramer, Stephen Luparello, Maura Miller

Moderator

Theodore R. Lazo

Managing Director & Associate General Counsel, Equities

SIFMA

Theodore R. Lazo’s Biography

Panelists

Stephen Luparello

General Counsel

Citadel Securities LLC

Stephen Luparello’s Biography

Maura Miller

Director-Equities Compliance

Credit Suisse Securities (USA) LLC

Maura Miller’s Biography

Participants

Ronald Long, Marin E. Gibson, Wendy Johnson, Holly Smith

Moderator

Ronald Long

Director of Regulatory Affairs and Elder Client Initiatives

Wells Fargo Advisors

Ronald Long’s Biography

Panelists

Marin E. Gibson

Managing Director and Associate General Counsel

SIFMA

Marin E. Gibson’s Biography

Wendy Johnson

Vice President, Dispute Resolution & Senior and Vulnerable Adult Investor Protection

U.S. Bancorp

Wendy Johnson’s Biography

Participants

Mary Reisert, Adam Hakki, Brad Karp, Jay Kasner, Meredith Kotler, Patrick Shilling

Moderator

Mary Reisert

Managing Director, Legal Department

Citigroup Global Markets, Inc.

Mary Reisert’s Biography

Panelists

Adam Hakki

Partner, Litigation

Shearman & Sterling LLP

Adam Hakki’s Biography

Patrick Shilling

Managing Director, Head of Americas Litigation

UBS

Patrick Shilling’s Biography

Participants

Carter McDowell, Hugh C. Conroy, Jr., Kathryn McCulloch, Reena Agrawal Sahni, Phillip Wertz

Moderator

Carter McDowell

Managing Director and Associate General Counsel

SIFMA

Carter McDowell’s Biography

Panelists

Kathryn McCulloch

Managing Director & Associate General Counsel

JPMorgan Chase & Co.

Kathryn McCulloch’s Biography

Phillip Wertz

Associate General Counsel

Bank of America

Phillip Wertz’s Biography

Participants

Kenneth Crowley, Brian F. Amery, James Crowe, Tracy L. Gerber, Mai Klaassen, Donald R. Littlefield

Participants

Todd Baskin, Craig Barrack, Leslie Gardner, Michael Kaplan, Patrick Moran

Moderator

Todd Baskin

Managing Director & Associate General Counsel

Bank of America Merrill Lynch

Todd Baskin’s Biography

Panelists

Craig Barrack

Managing Director & General Counsel

Citigroup

Craig Barrack’s Biography

Leslie Gardner

Managing Director and Associate General Counsel

J.P. Morgan & Co

Leslie Gardner’s Biography

Patrick Moran

General Counsel

Goldman, Sachs & Co.

Patrick Moran’s Biography

Participants

Greg Ruppert, Elizabeth “Paige” Baumann, Joseph P. Borg, Barry R. Goldsmith, Modesto Moya, John O’Neill

Moderator

Greg Ruppert

Bank Secrecy Act Officer, Senior Vice President, Corporate Risk Management

Charles Schwab & Co., Inc.

Greg Ruppert’s Biography

Panelists

Elizabeth “Paige” Baumann

Senior Vice President, Chief Anti-Money Laundering Officer

Fidelity Investments

Elizabeth “Paige” Baumann’s Biography

John O’Neill

Chief Compliance Officer

LPL Financial LLC

John O’Neill’s Biography

Participants

Joshua E. Levine, Martine Beamon, Colleen Conry, Steven D’Alessandro, Hugh Patton, Julie M. Riewe

Moderator

Joshua E. Levine

Managing Director and General Counsel – ICG Regulatory Enforcement

Citigroup

Joshua E. Levine’s Biography

Panelists

Steven D’Alessandro

Managing Director

JPMorgan Chase & Co.

Steven D’Alessandro’s Biography

Hugh Patton

Associate General Counsel and Senior Vice President

Bank of America

Hugh Patton’s Biography

Participants

Joe Salama, Susanna M. Buergel, Charlene Jones, Scott Musoff, Joy Weber

Moderator

Joe Salama

Associate General Counsel & Global Head of Litigation and Regulatory Enforcement

Deutsche Bank AG

Joe Salama’s Biography

Panelists

Charlene Jones

Director, Associate General Counsel

Citi

Charlene Jones’s Biography

Joy Weber

Executive Director

UBS Wealth Management

Joy Weber’s Biography

Participants

Kerry Gendron, Stuart Breslow, Joseph P. Facciponti

Moderator

Kerry Gendron

Managing Director, Head of Compliance Oversight

Morgan Stanley

Kerry Gendron’s Biography

Panelists

Stuart Breslow

Managing Director Technology and Policy

Google Cloud

Stuart Breslow’s Biography

Participants

Eric Gallinek, Herbert Janick, Michael Roemer, Pamela Root, Sarah E. Smith

Moderator

Eric Gallinek

Managing Director, Global Compliance Head - Global Banking & Markets and International

Bank of America Merrill Lynch

Eric Gallinek’s Biography

Panelists

Michael Roemer

Chief Compliance Officer

Wells Fargo

Michael Roemer’s Biography

Pamela Root

Global Head of Compliance and Group Chief Compliance Officer

Deutsche Bank AG

Pamela Root’s Biography

Sarah E. Smith

Managing Director, Global Head of Compliance

Goldman, Sachs & Co.

Sarah E. Smith’s Biography

11:45am – 12:15pm

Networking Break
Hosted by: Accenture LLP

Hosted by:

Accenture LLP

12:15pm – 1:30pm

Participants

Michelle Kelley, Kevin Carroll, David Foreman, Stephanie Nicolas, Carlos Pelayo

Moderator

Michelle Kelley

Senior Vice President & Associate General Counsel

LPL Financial LLC

Michelle Kelley’s Biography

Panelists

Kevin Carroll

Managing Director and Associate General Counsel

SIFMA

Kevin Carroll’s Biography

David Foreman

Chief Legal Officer, Fidelity Brokerage Services, LLC / Vice President & Associate General Counsel, Fidelity Investments

Fidelity

David Foreman’s Biography

Stephanie Nicolas

Partner

WilmerHale

Stephanie Nicolas’s Biography

Carlos Pelayo

Wealth & Investment Management, Legal Executive

Bank of America Merrill Lynch

Carlos Pelayo’s Biography

Participants

Cynthia B. Adams, Evan Barr, Wayne Carlin, David Knight, Michael Stone, Brent H. Taylor

Moderator

Cynthia B. Adams

Managing Director, Litigation, Regulatory and Employment Legal

Jefferies LLC

Cynthia B. Adams’s Biography

Panelists

David Knight

Executive Vice President & General Counsel

Stephens, Inc.

David Knight’s Biography

Michael Stone

Senior Fellow & Director of Compliance

Cardozo & Fordham Law Schools

Michael Stone’s Biography

Brent H. Taylor

Managing Director & General Counsel

UBS Financial Services Inc.

Seminar Chairperson

Brent H. Taylor’s Biography

Participants

Suzanne Elovic, David P. Bergers, Robert G. Brunton, Ryan Lester

Moderator

Suzanne Elovic

Executive Director, Regulatory Compliance

UBS AG

Suzanne Elovic’s Biography

Panelists

David P. Bergers

Partner

Jones Day

David P. Bergers’s Biography

Robert G. Brunton

Associate General Counsel

Edward D. Jones & Co., L.P.

Robert G. Brunton’s Biography

Ryan Lester

Vice President & Americas Head of Regulatory Practice Group

Goldman, Sachs & Co.

Ryan Lester’s Biography

Participants

James Meadows, Christian T. Kemnitz, David Meister, Antonia M. Apps, Cyrus Amir-Mokri, Barry W. Rashkover

Participants

Darya Geetter, Stephen Cohen, Michael Delikat, Maureen Lewis, Colleen P. Mahoney, Dan Rosenbaum

Moderator

Darya Geetter

Executive Vice President, Deputy General Counsel

LPL Financial

Darya Geetter’s Biography

Panelists

Maureen Lewis

Co-Head of Global Internal Investigations Group and Co-Head of U.S. Regulatory Enforcement

HSBC

Maureen Lewis’s Biography

Colleen P. Mahoney

Partner, Securities Enforcement, Government Enforcement and White Collar Crime

Skadden, Arps, Slate, Meagher & Flom LLP

Colleen P. Mahoney’s Biography

Dan Rosenbaum

Associate General Counsel

UBS Financial Services

Dan Rosenbaum’s Biography

Participants

C. Annette Kelton, Matthew Danton, Andre Owens, Phil Rothman

Moderator

C. Annette Kelton

Associate General Counsel & Head of Equities

Goldman, Sachs & Co.

C. Annette Kelton’s Biography

Panelists

Matthew Danton

Director

Barclays

Matthew Danton’s Biography

Andre Owens

Partner, Securities

WilmerHale

Andre Owens’s Biography

Phil Rothman

Senior Vice President

Fidelity Investments

Phil Rothman’s Biography

Participants

Cece Baute Mavico, Joe Fleming, Barbara A. Stettner, Anne Tennant

Moderator

Cece Baute Mavico

Senior Vice President & Associate Counsel

LPL Financial LLC

Cece Baute Mavico’s Biography

Panelists

Joe Fleming

Chief Compliance Officer

Ameriprise Financial, Inc.

Joe Fleming’s Biography

Barbara A. Stettner

Managing Partner

Allen & Overy LLP

Barbara A. Stettner’s Biography

Anne Tennant

Managing Director & General Counsel

Morgan Stanley Wealth Management

Anne Tennant’s Biography

Participants

Jeffrey Harwin, Ki Hong, Jeffrey M. King, Andreanna Truelove

Moderator

Jeffrey Harwin

Managing Director, Head of Financial Crime, Investment Bank Financial Crime Compliance

Barclays Capital Inc.

Jeffrey Harwin’s Biography

Panelists

Jeffrey M. King

Associate General Counsel & Managing Director

Bank of America Merrill Lynch

Jeffrey M. King’s Biography

Andreanna Truelove

Senior Legal Counsel

Fidelity Investments

Andreanna Truelove’s Biography

Participants

Christopher Lewis, Stephen M. Cutler, Adam Meshel, Michelle Bryan Oroschakoff, Michael Sharp

Moderator

Panelists

Stephen M. Cutler

Vice Chairman

JPMorgan Chase & Co.

Stephen M. Cutler’s Biography

Adam Meshel

Managing Director & Global General Counsel

Citi

Adam Meshel’s Biography

Michelle Bryan Oroschakoff

Chief Legal Officer

LPL Financial LLC

Seminar Chairperson

SIFMA 2018 C&L Annual Seminar

Michelle Bryan Oroschakoff’s Biography

Michael Sharp

Executive Vice President,Secretary and General Counsel

Jefferies

Michael Sharp’s Biography

Participants

Melissa MacGregor, Nicole Alexander, Yoon-Young Lee, Matthew Moore

Moderator

Melissa MacGregor

Managing Director and Associate General Counsel

SIFMA

Melissa MacGregor’s Biography

Panelists

Nicole Alexander

Associate General Counsel

Edward Jones

Nicole Alexander’s Biography

Yoon-Young Lee

Partner

WilmerHale

Yoon-Young Lee’s Biography

Matthew Moore

Managing Director, Global Head of Employee Compliance, Head of Central Compliance, Americas

Deutsche Bank Securities

Matthew Moore’s Biography

Participants

Amy Reich, Alessandro Cocco, Alison Morpurgo-Cotter, Charlotte Stalin

Moderator

Amy Reich

General Counsel, APAC Asia Pacific Region

Citibank, N.A.

Amy Reich’s Biography

Panelists

Alessandro Cocco

Managing Director

J.P. Morgan

Alessandro Cocco’s Biography

Alison Morpurgo-Cotter

Managing Director, Global Head Cross-Border Legal

UBS Global Wealth Management

Alison Morpurgo-Cotter’s Biography

1:30pm – 6:30pm

Sponsored by: Jones Day Pre-Registration is required. Please contact [email protected]  

Sponsored by:

Jones Day

Pre-Registration is required.

Please contact [email protected]

 

1:30pm – 2:30pm

Participants

Kenneth L. Miller, Eric F. Grossman, William R. McLucas

Moderator

Kenneth L. Miller

Deputy General Counsel

Bank of America

Seminar Co-Chairperson

Kenneth L. Miller’s Biography

Panelists

Eric F. Grossman

Executive Vice President and Chief Legal Officer

Morgan Stanley

Eric F. Grossman’s Biography

William R. McLucas

Partner

WilmerHale

William R. McLucas’s Biography

Sponsored by: QuisLex, Inc.

Sponsored by:

QuisLex, Inc.

7:00am – 2:00pm

Registration Desk Hours
Specialty Coffee Stations Sponsored by: O'Melveny & Myers LLP Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning…

Specialty Coffee Stations Sponsored by:

O’Melveny & Myers LLP

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning Lab, update your professional headshot and indulge in a specialty coffee break!

7:00am – 7:40am

7:00am – 7:45am

Sponsored by: WilmerHale

Sponsored by:

WilmerHale

7:00am – 2:00pm

Sponsored by: KPMG LLP

Sponsored by:

KPMG LLP

8:00am – 10:00am

General Session

8:00am – 8:05am

Welcome Remarks

8:05am – 8:15am

Presentation of the Alfred J. Rauschman Memorial Award

8:15am – 8:45am

Participants

Jay Clayton

8:45am – 10:00am

Participants

Merri Jo Gillette, H. Rodgin Cohen, Bari M. Havlik, Morris Morgan, Brett Redfearn

Moderator

Merri Jo Gillette

Deputy General Counsel

Edward Jones

Merri Jo Gillette’s Biography

Panelists

H. Rodgin Cohen

Senior Chairman

Sullivan & Cromwell LLP

H. Rodgin Cohen’s Biography

Bari M. Havlik

Executive Vice President, Member Supervision

FINRA

Bari M. Havlik’s Biography

Morris Morgan

Senior Deputy Comptroller for Large Bank Supervision

Office of the Comptroller of the Currency

Morris Morgan’s Biography

Brett Redfearn

Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Brett Redfearn’s Biography

10:30am – 11:45am

Participants

Jo-Anne Kelly, Lisa Bertain, Carole Miller, Eugene Scalia

Moderator

Jo-Anne Kelly

General Counsel, Human Resources

Citi

Jo-Anne Kelly’s Biography

Panelists

Lisa Bertain

Shareholder, Litigation

Keesal, Young & Logan, P.C.

Lisa Bertain’s Biography

Carole Miller

Co-Chair of Labor and Employment Practice

Bressler, Amery & Ross, P.C.

Carole Miller’s Biography

Participants

Scott Tucker, Stephanie Avakian, Andrew J. Ceresney, Joon H. Kim, Samuel Seymour

Moderator

Scott Tucker

Managing Director

Morgan Stanley

Scott Tucker’s Biography

Panelists

Stephanie Avakian

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

Stephanie Avakian’s Biography

Participants

Felicia Rector, Angie Karna, Annette Nazareth, Jamila Piracci

Moderator

Felicia Rector

Managing Director, Securities Division

Goldman, Sachs & Co.

Felicia Rector’s Biography

Panelists

Angie Karna

Managing Director, Legal

Nomura Secuirties, Inc.

Angie Karna’s Biography

Annette Nazareth

Partner, Financial Institutions

Davis Polk & Wardwell LLP

Annette Nazareth’s Biography

Jamila Piracci

Vice President, OTC Derivatives

National Futures Association (NFA)

Jamila Piracci’s Biography

Participants

Zoe Strickland, Christine Frye, Gina E. Hyde, Miriam H. Wugmeister

Moderator

Zoe Strickland

Managing Director, Global Chief Privacy Officer

JPMorgan Chase & Co.

Zoe Strickland’s Biography

Panelists

Christine Frye

Senior Vice President and Chief Privacy Officer

Bank of America

Christine Frye’s Biography

Gina E. Hyde

Chief Compliance Officer, Capital Markets

Stifel Financial Corp.

Gina E. Hyde’s Biography

Participants

Aaron Furniss, Brad Jacobs, Beverly Slaughter, Julie L. Taylor

Moderator

Aaron Furniss

Vice President, Associate General Counsel

Raymond James Financial, Inc.

Aaron Furniss’s Biography

Panelists

Brad Jacobs

Senior Vice President - Associate General Counsel

LPL Financial

Brad Jacobs’s Biography

Participants

Jennifer Grego, Alexander C. Gavis, Susan Steinthal, Stephen P. Wink

Moderator

Jennifer Grego

Managing Director, Wealth Management Compliance

Morgan Stanley

Jennifer Grego’s Biography

Panelists

Alexander C. Gavis

Senior Vice President & Deputy General Counsel

Fidelity Investments

Alexander C. Gavis’s Biography

Susan Steinthal

EVP & Deputy General Counsel

Citizens Bank

Susan Steinthal’s Biography

Participants

Patrick Chavez, Luke Dembosky, Michael S. Pieciak, Heather Egan Sussman

Moderator

Patrick Chavez

Chief Privacy Officer & Associate General Counsel / Leader, RIM Program

Edward D. Jones & Co., L.P.

Patrick Chavez’s Biography

Panelists

Participants

Scott Flood, Hannah Berkowitz, James McHale, Rose-Anne Richter, Michael Wainer

Moderator

Scott Flood

Managing Director & Senior Deputy General Counsel, Markets & Banking

Citigroup Global Markets Inc.

Scott Flood’s Biography

Panelists

James McHale

Executive Vice President & Chief Compliance Officer

Wells Fargo Clearing Services, LLC

James McHale’s Biography

Rose-Anne Richter

CCO, Wealth Management

Morgan Stanley

Rose-Anne Richter’s Biography

Participants

David Markowitz, David Anders, Carrie Bechtold, Marc P. Berger, Nicolas Bourtin

Moderator

David Markowitz

Managing Director

Goldman, Sachs & Co.

David Markowitz’s Biography

Panelists

Carrie Bechtold

Senior Counsel

Wells Fargo

Carrie Bechtold’s Biography

Marc P. Berger

Director of New York Regional Office

U.S. Securities and Exchange Commission

Marc P. Berger’s Biography

Participants

Raymond Abbott, Dana Fleischman, Lauren Munfa, Pamela Torres

Moderator

Raymond Abbott

Managing Director & Associate General Counsel for Global Research

Bank of America Merrill Lynch

Raymond Abbott’s Biography

Panelists

Lauren Munfa

Executive Director

UBS Securitites Co., Ltd

Lauren Munfa’s Biography

Pamela Torres

General Counsel of Global Investment Research

Goldman, Sachs & Co.

Pamela Torres’s Biography

TA: Ask FINRA: A Panel of Senior FINRA Officials Responds to Your Questions

12:15pm – 1:30pm

Participants

Anthony DeRose, John Crowe, Adrienne B. Pitts

Moderator

Anthony DeRose

Managing Director

Deutsche Bank

Anthony DeRose’s Biography

Panelists

John Crowe

Chief Compliance Officer

Evercore Group LLC

John Crowe’s Biography

Adrienne B. Pitts

General Counsel

Loop Capital

Adrienne B. Pitts’s Biography

Participants

Nate Saint Victor, Debo P. Adegbile, Pamela Everhart, Maja Hazell, Charis Jones, Michelle Rhee

Moderator

Nate Saint Victor

Executive Director, Legal & Compliance

Morgan Stanley

Nate Saint Victor’s Biography

Panelists

Debo P. Adegbile

Partner

WilmerHale

Debo P. Adegbile’s Biography

Pamela Everhart

SVP, Regional Public Affairs and Community Relations

Fidelity Investments

Pamela Everhart’s Biography

Maja Hazell

Global Head of Diversity & Inclusion

White & Case LLP

Maja Hazell’s Biography

Charis Jones

Senior Vice President, Deputy Chief Compliance Officer, Advisory Compliance

LPL Financial LLC

Charis Jones’s Biography

Michelle Rhee

Associate General Counsel

Bank of America

Michelle Rhee’s Biography

Participants

Patricia Cowart, Richard J. Davis, Christine Kendrick, Shannon McDougald, Melissa Hegger Shea

Moderator

Patricia Cowart

Senior Company Counsel

Wells Fargo Advisors

Patricia Cowart’s Biography

Panelists

Christine Kendrick

Executive Director

Morgan Stanley

Christine Kendrick’s Biography

Melissa Hegger Shea

Vice President and Associate General Counsel, Legal

Fidelity Investments

Melissa Hegger Shea’s Biography

Participants

Mei Lin Kwan-Gett

Moderator

Mei Lin Kwan-Gett

Deputy General Counsel & Head of Global Litigation

Citigroup Inc.

Mei Lin Kwan-Gett’s Biography

Participants

Molly Deere, Brandon A. Gilchrist, Stacie Owens, Claire Rajan, Kiki Taylor

Moderator

Molly Deere

Vice President & Assistant General Counsel

Stephens Inc.

Molly Deere’s Biography

Panelists

Brandon A. Gilchrist

Assistant Vice President, Surveillance & Investigations

LPL Financial LLC

Brandon A. Gilchrist’s Biography

Stacie Owens

Associate General Counsel

Edward D. Jones & Co., L.P.

Stacie Owens’s Biography

Claire Rajan

Senior Counsel

Allen & Overy

Claire Rajan’s Biography

Kiki Taylor

Vice President & Assistant General Counsel, Government Investigations and Regulatory Enforcement

J.P. Morgan Chase & Co.

Kiki Taylor’s Biography

Participants

Ryan Taylor, Jahad Atieh, Jai Massari, Curtis Tao

Moderator

Ryan Taylor

Managing Director, Head of Dodd-Frank, Volcker Compliance

RBC Capital Markets, LLC

Ryan Taylor’s Biography

Panelists

Jahad Atieh

Vice President & Assistant General Counsel

JPMorgan Chase & Co.

Jahad Atieh’s Biography

Curtis Tao

Associate General Counsel

Citigroup, Inc.

Curtis Tao’s Biography

Participants

Nancy Swift, David DiBari, Kenneth Marcuse

Moderator

Nancy Swift

Deputy Chief Compliance Officer, Institutional & Brokerage

Wells Fargo & Company

Nancy Swift’s Biography

Panelists

David DiBari

Managing Partner, Litigation & Dispute Resolution

Clifford Chance US LLP

David DiBari’s Biography

Kenneth Marcuse

EVP, U.S. Chief Compliance Officer & Deputy Global CCO

TD Bank Group

Kenneth Marcuse’s Biography

Participants

Helene Jepson, Mike Nicholson, John H. Walsh, Andrew Weinberg

Moderator

Helene Jepson

Senior Vice President, Enterprise Chief Compliance Officer

First Republic Bank

Helene Jepson’s Biography

Panelists

Mike Nicholson

Director of Internal Controls

Wells Fargo Clearing Services, LLC

Mike Nicholson’s Biography

Andrew Weinberg

Managing Director, GBAM Compliance Executive

Bank of America Corporation

Andrew Weinberg’s Biography

Participants

Bari Jane Wolfe, Jeffrey Horowitz, Michael H. Krimminger

Moderator

Bari Jane Wolfe

Managing Director & Head of Regulatory Relations

Depository Trust & Clearing Corporation

Bari Jane Wolfe’s Biography

Panelists

Jeffrey Horowitz

Managing Director and Global Head of Compliance

Pershing LLC, BNY Mellon Company

Jeffrey Horowitz’s Biography

Participants

Julie Hobbs, Beth Dorfman, Thomas McQuade, Donald Sutherland, Edward P. O’Keefe

Moderator

Julie Hobbs

Managing Director and General Counsel of Morgan Stanley Private Bank, National Association

Morgan Stanley

Julie Hobbs’s Biography

Panelists

Beth Dorfman

Managing Director, Legal

Bank of America Merrill Lynch

Beth Dorfman’s Biography

Thomas McQuade

Director, Risk and Compliance

Protiviti

Thomas McQuade’s Biography

Donald Sutherland

Senior Vice President and Senior Company Counsel

Wells Fargo & Company

Donald Sutherland’s Biography

Speaker

Participants

Stacey Schmidt, James R. Carroll, Brigitte Duffy, Sean McKessy, Lorin L. Reisner

Moderator

Stacey Schmidt

Vice President and Associate General Counsel, Employment Law Group

Fidelity Brokerage Services LLC

Stacey Schmidt’s Biography

Panelists

Brigitte Duffy

Senior Vice President, Associate Counsel

LPL Financial Holdings Inc.

Brigitte Duffy’s Biography

1:30pm – 2:30pm

Sponsored by: Clifford Chance

Sponsored by:

Clifford Chance

Sponsored by: Accenture LLP

Sponsored by:

Accenture LLP

3:00pm – 5:00pm

SIFMA C&L Community Service Event

6:00pm – 8:30pm

10:00pm – 12:00am

7:30am – 12:45pm

Registration Desk Hours

7:30am – 11:30am

Exhibition Hall Hours

7:30am – 8:30am

Networking Breakfast

8:30am – 8:35am

Closing Remarks

8:35am – 9:35am

Participants

Madeleine K. Albright

Speaker

Madeleine K. Albright

Chair of Albright Stonebridge Group

Albright Capital Management LLC

Madeleine K. Albright’s Biography

9:55am – 11:10am

Participants

Grace Ang, Rajeev Dave, Jim Giles, Mathias Kramer, Carmen Lawrence

Moderator

Grace Ang

Executive Director, IT Contracting & Shared Services Legal

UBS AG

Grace Ang’s Biography

Panelists

Rajeev Dave

Americas Head of Surveillance

Barclays

Rajeev Dave’s Biography

Mathias Kramer

Managing Director

Morgan Stanley

Mathias Kramer’s Biography

Participants

Rich Link, Emma Bredin, W. Hardy Callcott

Moderator

Rich Link

Chief Compliance Officer

Edward D. Jones & Co., L.P.

Seminar Co-Chairperson

Rich Link’s Biography

Panelists

Emma Bredin

Chief Compliance Officer

Raymond James Financial, Inc.

Emma Bredin’s Biography

Participants

Janet Broeckel, Michele Coffey, Kelly Currie, Tim Magee, John Savarese, James Q. Walker

Moderator

Janet Broeckel

Managing Director, Associate General Counsel Litigation/Regulatory

Goldman, Sachs & Co.

Janet Broeckel’s Biography

Panelists

Participants

Amy Watson, Norman Ashkenas, John V. Ayanian, Brett Flansburg, Joseph Lodato

Moderator

Amy Watson

Managing Director, Executive Office Compliance

Goldman, Sachs & Co.

Amy Watson’s Biography

Panelists

Norman Ashkenas

Senior Vice President & Chief Compliance Officer

Fidelity Investments

Norman Ashkenas’s Biography

Brett Flansburg

Vice President and Chief Compliance Officer

Ameriprise Financial

Brett Flansburg’s Biography

Joseph Lodato

Global Head of Compliance Technology and Surveillance

Guggenheim Partners, LLC

Joseph Lodato’s Biography

Participants

Jill Ostergaard, Melissa Aoyagi, Stephen Paine

Moderator

Jill Ostergaard

Partner and CCO

Exos TFP

Jill Ostergaard’s Biography

Panelists

Stephen Paine

Managing Director

Bank of America

Stephen Paine’s Biography

Participants

Maria Douvas, George S. Canellos, Susan L. Merrill, Andrew Stemmer

Moderator

Maria Douvas

Vice President & Managing Director

RBC

Maria Douvas’s Biography

Panelists

Andrew Stemmer

Director & Senior Counsel, Litigation & Regulatory Investigations

Deutsche Bank AG

Andrew Stemmer’s Biography

Participants

Robert O’Connor, Kevin J. Campion, Alina Casner, Eric Colchamiro, Michael A. Macchiaroli

Moderator

Robert O’Connor

Managing Director

Morgan Stanley

Robert O’Connor’s Biography

Panelists

Alina Casner

Managing Director & Head of Markets

BNY Mellon

Alina Casner’s Biography

Eric Colchamiro

Associate General Counsel

Goldman Sachs & Co. LLC

Eric Colchamiro’s Biography

Michael A. Macchiaroli

Associate Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Michael A. Macchiaroli’s Biography

Participants

Gary Rosen, Elizabeth H. Baird, Edward McLaren, Paul A. Merolla, Timothy Smith, Michelle Wilke

Moderator

Panelists

Edward McLaren

Managing Director - Fixed Income Compliance

Bank of America Merrill Lynch

Edward McLaren’s Biography

Timothy Smith

Managing Director

Jefferies LLC

Timothy Smith’s Biography

Michelle Wilke

Executive Director, Legal & Compliance

Morgan Stanley

Michelle Wilke’s Biography

Participants

Mark P. Fisher, Jacqueline Beauprez, Jeffry Freiburger, Jane Matoesian, Terry R. Weiss

Moderator

Mark P. Fisher

Senior Vice President, General Counsel and Corporate Secretary

Stifel Financial Corp.

Mark P. Fisher’s Biography

Panelists

Jacqueline Beauprez

Senior Vice President & General Counsel

D.A. Davidson & Co.

Jacqueline Beauprez’s Biography

Jeffry Freiburger

Managing Director and Chief Compliance Officer

Robert W. Baird & Co.

Jeffry Freiburger’s Biography

Jane Matoesian

Senior Vice President and Managing Counsel

Benjamin F. Edwards & Co.

Jane Matoesian’s Biography

Terry R. Weiss

Shareholder

Greenberg Traurig

Terry R. Weiss’s Biography

Participants

Bruce Spiegler, David C. Boch, Ira Goldberg, Lori Ryan-Thurton, Ian Savage

Moderator

Bruce Spiegler

Head of Regulatory Affairs & Policy

Jefferies LLC

Bruce Spiegler’s Biography

Panelists

Ira Goldberg

Managing Director, Global Chief Auditor Compliance

Ira Goldberg’s Biography

Lori Ryan-Thurton

Americas Head of Compliance Testing

Deutsche Bank

Lori Ryan-Thurton’s Biography

Participants

James Mangan, Mary Jane Lee, Karen Hoffman Lent, Jill Centella

Moderator

James Mangan

Managing Director & Counsel

Morgan Stanley

James Mangan’s Biography

Panelists

Mary Jane Lee

Managing Director and General Counsel

Citi

Mary Jane Lee’s Biography

Karen Hoffman Lent

Partner

Skadden Arps

Karen Hoffman Lent’s Biography

Jill Centella

Managing Director, Global Head of Litigation

JPMorgan Chase & Co.

Jill Centella’s Biography

11:10am – 11:30am

Networking Break

11:30am – 12:45pm

Participants

Mark Keene, Michael Freedman, Ben A. Indek, Nadar Salehi, Andrew Sidman

Moderator

Mark Keene

Managing Director & Associate General Counsel Legal

Bank of America Corporation

Mark Keene’s Biography

Panelists

Michael Freedman

Assistant General Counsel, Regulatory

Raymond James Financial, Inc.

Michael Freedman’s Biography

Nadar Salehi

Partner, SEC Enforcement

Sidley Austin LLP

Nadar Salehi’s Biography

Participants

Pamela Chepiga, Jeff Isaacs, Lani Quarmby, Rose Battaglia

Panelists

Pamela Chepiga

Acting General Counsel

Allen & Overy LLP

Pamela Chepiga’s Biography

Jeff Isaacs

Managing Director and Global COO

Goldman, Sachs & Co.

Jeff Isaacs’s Biography

Lani Quarmby

Associate General Counsel and Senior Vice President

Bank of America

Lani Quarmby’s Biography

Speaker

Rose Battaglia

Managing Director and Global Chief Operating Officer

Deutsche Bank AG

Rose Battaglia’s Biography

Participants

Michael Bahar, Erika Dean

Panelists

Erika Dean

Information Security Officer

Capital One

Erika Dean’s Biography

Participants

Michele Siano, Susan F. Axelrod, Belinda Blaine, Mike Silva

Moderator

Panelists

Susan F. Axelrod

Chief Supervisory Officer

Merrill Lynch

Susan F. Axelrod’s Biography

Belinda Blaine

Managing Director

Morgan Stanley

Belinda Blaine’s Biography

Mike Silva

Partner and Chair of the Financial Services Regulatory

DLA Piper

Mike Silva’s Biography

Participants

Charlie George, Katrina A. Carroll, Sharon Cohen Levin, James Fiebelkorn, Satish M. Kini

Moderator

Charlie George

Senior Vice President, Group Financial Crimes Manager

Wells Fargo Bank

Charlie George’s Biography

Panelists

Katrina A. Carroll

Executive Vice President and Chief Anti-Money Laundering Officer

LPL Financial LLC

Katrina A. Carroll’s Biography

Sharon Cohen Levin

Partner

WilmerHale

Sharon Cohen Levin’s Biography

James Fiebelkorn

Vice President and Global AML Officer

Ameriprise Financial Services Inc.

James Fiebelkorn’s Biography

Participants

Howard R. Plotkin, Richard Agster, Margaret “Peg” Henry, Leslie Norwood

Moderator

Panelists

Richard Agster

Director of Fixed Income Compliance

Raymond James

Richard Agster’s Biography

Margaret “Peg” Henry

Deputy General Counsel

Stifel

Margaret “Peg” Henry’s Biography

Leslie Norwood

Managing Director & Associate General Counsel, Municipal Securities Division

SIFMA

Leslie Norwood’s Biography

12:45pm – 12:45pm

Seminar Adjourns