Alan is head of Global Compliance. He serves as a member of the Management Committee, the Firmwide Client and Business Standards Committee, the Firmwide Investment Policy Committee and the Firmwide Reputational Risk Committee. Alan joined Goldman Sachs as a partner in 2004.
Prior to joining the firm, Alan was a partner at O’Melveny & Myers, where he co-headed the White Collar and Regulatory Defense Practice and the New York Litigation Group since 1991. Prior to this, he was an assistant US attorney for nine years for the Southern District of New York, where his last assignment was as the chief of the Securities and Commodities Fraud Task Force.
Alan serves on the Board of Directors of the New York Stem Cell Foundation and the Board of Trustees of Temple University. He is also a member of the Lawyers Committee of the Innocence Project.
Alan earned a BA in 1972 from Temple University, as well as a PhD and a JD, with highest honors, from Rutgers University in 1976 and 1979, respectively.
Eric Gallinek is a Managing Director and Head of Compliance for Deutsche Bank AG Americas. He is responsible for the Bank's compliance activities in the United States, Latin America and Canada. He is also the Global Compliance Business Partner for the Corporate Banking and Securities.
Mr. Gallinek serves on various committees for the Bank such as the Americas Regional Executive Committee, the Americas Regional Governance Board and the Global Compliance Executive Committee.
Prior to becoming the Americas Head of Compliance in July 2003, Mr. Gallinek had been the London based Head of Global Markets Legal and Compliance. Before joining Deutsche Bank in 1997, he held the post of Deputy Chief Enforcement Counsel at the UK Investment Management Regulatory Organization between 1994 and 1997. From 1988 until 1994, Mr. Gallinek was with the United States Securities and Exchange Commission's Division of Enforcement in various capacities. From 1993 until he left the SEC, he was a Branch Chief in charge of overseeing a team of attorneys responsible for investigating and prosecuting violations of the US federal securities laws.
Mr. Gallinek holds a Juris Doctor from Syracuse University College of Law, and a Bachelor of Arts in Economics and a minor in Foreign Affairs from the University of Virginia.
Carmen Lawrence is a partner in King & Spalding’s Special Matters and Government Investigations practice group and co-head of the firm’s securities enforcement and regulation practice.
Ms. Lawrence's practice focuses on representing parties in investigations and litigations conducted primarily by the US Securities and Exchange Commission, US Commodity Futures Trading Commission, US Department of Justice, self-regulatory organizations and state securities regulators, conducting internal investigations, providing crisis management advice to public and private companies and counseling public companies and regulated entities (broker-dealers and investment advisers) on their obligations under the federal securities laws.
From 1996 until June 2000, Ms. Lawrence was the Regional Director for the SEC's Northeast Regional Office (covering 14 states and the District of Columbia), where she oversaw all enforcement and regulatory operations in the SEC's largest region. Some of the SEC's most significant cases were brought by the Northeast Regional Office under Ms. Lawrence's leadership.
Before her appointment as regional director, from 1990 through 1995, Ms. Lawrence served as Senior Associate Regional Director, heading up the Northeast Regional Office's Enforcement Division. From 1981 to 1989, she served in various staff and senior positions in the Enforcement Division.
Ms. Lawrence received numerous awards during her tenure at the SEC, including the Equal Employment Opportunity Award in 1998; the Presidential Distinguished Executive Award in 1995; the Stanley Sporkin Award in 1993; and the Irving M. Pollack Award, presented to an enforcement lawyer exhibiting leadership, integrity and intellect, in 1990.
Ms. Lawrence is consistently recognized by Chambers USA: America's Leading Lawyers for Business as a leading individual for Securities Regulation and for Litigation: White-Collar Crime & Government Investigations. She is consistently recognized by Legal 500 in Litigation: White-Collar Criminal Defense, and is additionally recognized in Financial Services: Litigation. She is also consistently recognized by Benchmark: Litigation as a New York Litigation Star. She was named to Securities Docket’s inaugural “Enforcement 40” list of top SEC enforcement lawyers in 2013.
Ms. Lawrence has spoken extensively and participates in numerous continuing legal education programs for federal securities law matters.
Colleen P. Mahoney heads the firm's Securities Enforcement practice, and regularly represents financial services firms, corporations, their boards, board committees, officers, directors and employees in Securities and Exchange Commission (SEC) and other law enforcement investigations.
Ms. Mahoney assists management and boards of directors performing internal investigations, often advising clients on preventive and remedial measures before and after securities-related issues arise.
Ms. Mahoney has been the lead attorney representing many of the company boards and individuals embroiled in signature SEC investigations. Her clients have included many well-known U.S. and foreign companies. As is frequently the case with SEC enforcement matters, the biggest victories are the ones that never become public – the government investigations and inquiries that are put to rest before charges are filed or an indictment is issued, or even before a public disclosure of the government interest. Ms. Mahoney has succeeded in bringing a number of matters to a close in those circumstances.
Prior to joining Skadden, Ms. Mahoney spent 15 years in increasingly senior positions with the SEC, serving as acting general counsel of the agency and as deputy director of the division of enforcement. During her tenure at the SEC, Ms. Mahoney helped manage a civil law enforcement program that addressed a wide range of issues, including financial fraud and disclosure, asset management issues, derivatives and insider trading.
Ms. Mahoney frequently lectures on securities regulatory and enforcement issues at seminars and conferences in the United States and abroad.
Ms. Mahoney has been selected for inclusion in Chambers USA: America's Leading Lawyers for Business, The International Who's Who of Corporate Governance Lawyers, Lawdragon 500 Leading Lawyers in America and The Best Lawyers in America. Since 2012, she has been recognized as one of Benchmark Litigation's "Top 250 Women in Litigation" and she also was named to the shortlist of the nation's top women regulatory lawyers by Chambers USA (2012). Additionally, Ms. Mahoney was included in Washingtonian Magazine's 2013 "Best Lawyers" list.
David Levine is Chief Legal Officer for Oz Management, a global alternative asset management firm. He is also an Executive Managing Director and a member of the Firm’s Partner Management Committee. Prior to joining Oz Management in January 2017, Mr. Levine spent 15 years at Deutsche Bank AG, where he most recently served as Global Head of Litigation and Regulatory Enforcement. From 1993 through 2001, Mr. Levine worked at the U.S. Securities and Exchange Commission in both New York and Washington, DC. During this time, he served in a variety of roles including as the agency’s Chief of Staff, as well as Senior Adviser to the Director of Enforcement.
Mr. Levine was a member of SIFMA’s Compliance and Legal Society Executive Committee and Legal Subcommittee from 2011-2017. Previously, he served on FINRA’s Membership Committee (2003-2005), including as Chair in 2005. In 2006, Mr. Levine was appointed by FINRA's Board of Governors to the National Adjudicatory Council (the appellate court for FINRA enforcement actions) and served as Vice Chairman (2008) and Chairman (2009). Mr. Levine also served on FINRA’s Statutory Disqualification Subcommittee from 2010 to 2016.
Mr. Levine is the author of: Research Analyst Conflict Disclosures—Less Would Be More, BNA’s Securities Regulation & Law Report (Vol. 41, No. 6) at 217 (Feb. 9, 2009); and co-author of: “You’ve Got Jail:” Current Trends in Civil and Criminal Enforcement of Internet Securities Fraud, 38 Georgetown American Crim. L. Rev. 405 (2001); Insider Trading Redux, Nat’l L.J. at B6 (Oct. 18, 1999); The Securities Litigation Uniform Standards Act of 1998: The Sun Sets on California’s Blue Sky Laws, 54 Bus. Law. 1 (1998); The New Securities Class Action: Federal Obstacles, State Detours, 39 Ariz. L. Rev. 641 (1997); The Limits of Central Bank’s Textualist Approach: Attempts to Overdraw the Bank Prove Unsuccessful, 26 Hofstra L. Rev. (1997).
Mr. Levine holds a J.D. Degree from Hofstra University School of Law where he was valedictorian and an editor of the law review.
Gregory Johnson is a Managing Director and Associate General Counsel with JPMorgan Chase & Co. Inc. and Head of Compliance for its Global Corporate & Investment Bank. Prior to joining J.P. Morgan in 1997, he was with CS First Boston focusing on fixed income compliance. From 1990 to 1994, Mr. Johnson was an enforcement attorney and then branch chief with the U.S. Securities & Exchange Commission’s Northeast Regional Office. Mr. Johnson holds a B.S. in Economics and Finance from St. John’s University School of Business and a J.D. from St. John’s University School of Law.
Henry Klehm leads the Firm’s Securities Litigation & SEC Enforcement Practice, brings almost 30 years of experience at the U.S. Securities and Exchange Commission as a senior enforcement officer, a senior in-house lawyer at two global financial institutions, and a public company director. In the last ten years, Henry has acted as counsel in major corporate investigations and civil and criminal enforcement actions throughout the world. He counsels boards, corporations, and financial institutions on cross-border internal investigations, crisis management, corporate governance, and effective compliance and ethics programs, as well as legal matters related to internal control, auditing, litigation loss contingencies (ASC 450), and whistleblowers.
Recent representations include public companies, audit and special committees, financial institutions, and senior corporate officers in investigations and litigation involving disclosure, complex financial products, financial reporting, the Foreign Corrupt Practices Act, money laundering, and economic sanctions.
Prior to joining Jones Day, Henry was Deutsche Bank’s global head of compliance and Prudential Financial’s deputy general counsel for regulatory matters. He was with the SEC for ten years, serving as head of enforcement for the northeastern United States for five years, where he investigated, litigated, and supervised more than 500 enforcement actions including insider trading, financial frauds, Ponzi schemes, rogue traders, market manipulations, and investment company and advisor matters.
Since 2006, Henry has served as an independent director of RenaissanceRe Holdings, an NYSE-listed catastrophe reinsurance firm. He is currently chair of the Compensation and Governance Committee and previously chaired the audit committee.
Henry frequently lectures on cross border investigations, financial services, and corporate governance matters.
Ilene Marquardt is lead counsel for Wells Fargo Advisors’ retail brokerage operations. In this role, Ilene heads a team of thirty professionals who provide legal advice and counseling for all products, services and operations within the Wells Fargo Advisors Line of Business, including First Clearing and FInNet. Ilene is a member of the WFA Operating Committee and serves on multiple other WFA business, legal, compliance and risk working groups and committees that support the WFA channel.
Before joining Wells Fargo in February 2019, Ilene spent more than 24 years at UBS (originally PaineWebber) where she held multiple roles including Head of Litigation and Regulatory for Wealth Management US, Interim General Counsel for Wealth Management US and Head of Regulatory for Region Americas. Ilene is also an appointed member of the FINRA National Adjudicatory Council, and serves on SIFMA’s Compliance and Legal Executive Committee. Before joining PaineWebber in 1994, Ilene was a litigation associate in NY at Morgan Lewis and Bockius.
Ilene has a B.A. from Northwestern University, and a J.D. from New York University School of Law. She is a member of the New York and New Jersey bars.
Jamie Brigagliano is a partner in Sidley’s Securities Enforcement and Regulatory group. Sidley received the 2019 Chambers USA award for Financial Services Regulation Firm of the Year and was named the “Law Firm of the Year” for Securities Regulation in 2021,2020, and 2017 by U.S. News – Best Lawyers. Prior to joining Sidley, Jamie served as the Deputy Director of the Division of Trading and Markets at the Securities and Exchange Commission, where he held senior policymaking and management responsibilities. His practice at Sidley is composed of advising broker-dealers, hedge funds and other financial services firms on a broad variety of regulatory, enforcement, compliance, and transactional matters. Jamie focuses his practice in particular on SEC and SRO rules governing trading by broker-dealers and hedge funds, and broker-dealer registration and conduct rules.
Jamie’s practice has been regularly recognized by Chambers USA (2013 – 2021) and The Best Lawyers in America. In the 2020 edition of Chambers USA, Jamie was recognized for his work “in equity market structure and trading issues,” highlighting that “his mental rolodex for regulatory guidance is superb and it makes him so efficient to use and easy to work with.” For the 2016–2017 and 2019–2021 rankings, The Best Lawyers in America list Jamie as a “Best Lawyer” in the Securities Regulation category.
While at the SEC, Jamie oversaw the regulation of broker-dealers, securities markets, and trading practices; advised on enforcement matters and testified before Congress. Jamie was honored with numerous awards during his tenure at the SEC. He has been a frequent speaker at industry conferences and continuing legal education seminars.
Kay Lackey is a Managing Director/Senior Counsel at Royal Bank of Scotland (Americas). Kay is the Head of Litigation and Regulatory Investigations for Corporate and Institutional Banking.
Prior to joining RBS, Kay worked at the Securities and Exchange Commission for 14 years. Kay joined the Commission in 1995 as a staff attorney in the Division of Enforcement in New York and was subsequently promoted. When she left the Commission, Kay was an Associate Regional Director and Co-Head of Enforcement in the New York Regional Office. While at the SEC, Kay worked on and supervised numerous enforcement actions involving a variety of areas, including financial fraud, stock options backdating, insider trading, market timing and late trading, ponzi schemes, and market manipulation.
Prior to working at the SEC, Kay was a litigation associate at Mayer Brown. Kay also clerked for the Honorable Nathaniel M. Gorton of the United States District Court for the District of Massachusetts and the Honorable Juan R. Torruella, of the United States Court of Appeals for the First Circuit. Kay received her J.D. from Boston University Law School and her B.A. from Williams College.
Marc P. Berger, former Acting Director and Deputy Director of the Division of Enforcement and Director of the New York Regional Office at the SEC, and former Chief of the Securities and Commodities Fraud Task Force in the U.S. Attorney’s Office for the Southern District of New York, represents companies, boards and executives in government and internal investigations, regulatory enforcement matters, and high-profile disputes.
As Acting Director and Deputy Director of Enforcement at the SEC, Marc oversaw thousands of investigations and hundreds of litigations addressing a broad range of securities matters, including issuer disclosure and accounting violations, foreign bribery, investment advisory issues, securities offerings, market manipulation, insider trading, broker-dealer misconduct, cyber threats, initial coin offerings, digital assets and COVID-related fraud. He first joined the SEC as Director of the New York Regional Office, where in addition to supervising all New York enforcement matters, Marc oversaw all of the New York office’s compliance examinations of investment banks, investment advisers, broker-dealers, mutual funds and hedge funds.
As a federal prosecutor, Marc tried 13 cases in district court and as Chief of the SDNY’s Securities Unit he supervised some of the nation’s most significant financial and investment fraud matters, including those related to corporate and accounting fraud, insider trading, market manipulation, and violations of the FCPA. Marc’s SEC and DOJ work involved extensive coordination of cross-border and multi-agency investigations.
In between Marc’s tenures at the SEC and DOJ, Marc was a litigation partner at another international law firm where he represented global financial institutions, public companies, investment firms and individuals in numerous high-profile matters.
Michael J. Osnato, Jr., former Chief of the Complex Financial Instruments Unit of the Securities and Exchange Commission’s Enforcement Division, is a Litigation Partner and member of the Firm’s Government and Internal Investigations Practice. He focuses on high-stakes regulatory and criminal matters, government investigations, sensitive whistleblower complaints and SEC examination and compliance counseling.
During his tenure at the SEC, Mike led a specialized, nationwide unit of 45 attorneys and former Wall Street professionals in the SEC’s investigations related to complex financial products and practices involving sophisticated market participants. Under Mike’s leadership, the CFI Unit was charged with developing innovative and streamlined methods for monitoring and investigating products and risks that posed a large-scale risk to the securities markets. He supervised investigations and litigations involving the structuring, sale, trading and valuation of derivatives, asset-backed securities and other complex securities by banks, asset managers and public companies, including:
At the SEC, Mike was a member of various national leadership Committees, including the Enforcement Division’s Cooperation Committee, which oversees the SEC’s Cooperation Program for entities and individuals subject to SEC investigation. During his tenure on the Cooperation Committee, Mike played a leadership role in developing innovative uses of the Enforcement Division’s Cooperation Program and formulating national policy relevant to the resolution of high-stakes matters. Mike has extensive experience in evaluating the strength of corporate compliance and controls programs, the adequacy and value of corporate and individual cooperation in SEC matters, and has played a lead role in several of the SEC's most prominent settlements involving admissions of wrongdoing.
Throughout his tenure at the SEC, Mike worked in close partnership with multiple domestic and international law enforcement agencies, including the Department of Justice, FBI, CFTC, Federal Reserve, the Manhattan District Attorney's Office, the New York Attorney General's Office, the Office of the Comptroller of the Currency and the U.K. Financial Conduct Authority.
Mike first joined the SEC’s Enforcement Division in September of 2008 as a staff attorney. Prior to his promotion to Chief of the CFI Unit, he served as Assistant Regional Director in the SEC’s New York Regional Office from 2010 through January 2014, where he supervised a number of prominent financial crisis, accounting fraud and investment adviser investigations.
Mike frequently speaks at conferences on subjects relating to securities enforcement, regulatory developments and private fund enforcement. He also serves as Visiting Lecturer at a prominent European university on the SEC's regulatory and enforcement processes.
Prior to his tenure at the SEC, Mike was an attorney at two prominent international law firms. He received his J.D. with Honors in 1997 from Fordham Law School, where he was a member of the Law Review, and his B.A. with Honors from Williams College in 1994, where he was a Distinguished Scholar.
NEAL SULLIVAN, a member of the Firm’s Executive Committee, is co-leader of Sidley’s Securities & Derivatives Enforcement and Regulatory practice, which received the 2016 Chambers USA Award for “Financial Services and Securities Regulation.” Neal conducts a comprehensive securities regulatory and enforcement practice in which he represents broker-dealers, investment banks, investment advisers, accounting firms, public companies, and senior corporate officers before the SEC, DOJ, DOT/FinCEN, PCAOB, FINRA, state attorneys general and securities regulators in private and public investigations and enforcement proceedings and in connection with international securities regulatory matters. He has been recognized in the areas of Securities Regulation and Enforcement since 2008 in Chambers USA: America’s Leading Lawyers for Business, where he has been described as “the epitome of a ‘wise counselor,’” with “significant credibility with the regulators and a keen sense of what all parties need to accomplish to reach resolution.”
A dynamic and effective enforcement counsel, Neal has represented financial services clients in many of the SEC’s major Wall Street investigations in the past 15 years, including anti-money laundering, insider trading, the sale of auction-rate securities, other structured products and various subprime mortgage-related matters; mutual fund market timing. He has represented public companies and accounting firms in connection with SEC investigations and proceedings related to audit work papers, accounting treatment of assets and valuations, compliance with Regulation FD and accounting treatment in connection with M&A.
Neal is also one of the leading advisers to the securities industry on major compliance and regulatory matters. He has played a central role in many significant matters over the past 20 years, such as representing Freddie Mac in a multi-year investigation by the SEC and the DOJ regarding sub-prime mortgages, representing Morgan Stanley in obtaining regulatory approvals for the 2009 launch of Morgan Stanley Smith Barney, the country’s largest retail broker-dealer and in its subsequent move to self-clearing and the Boston Options Exchange’s 2012 filing with the SEC to become a national self-regulatory organization. He represented the settling banks in negotiating the NASAA model settlement that become the basis for the Global Settlement Relating to Firm Research and Investment Banking Conflicts of Interest announced by the SEC, NASD, NASAA, NYSE and the N.Y. Attorney General’s office in April 2003.
During his tenure as the executive director of the North American Securities Administrators Association, he represented the 53 states and territories in negotiations concerning The National Securities Markets Improvement Act of 1996 and was one of the principal drafters of NSMIA. He also served as chief of the Massachusetts Securities Division and was vice president of regulation at the Boston Stock Exchange.
Neal appears regularly on industry and legal panels that address issues of concern to the securities industry, including the SIFMA C&L annual meeting and certain SIFMA regional meetings. He has co-chaired the Fall PLI course on broker-dealer regulation annually since 2007. He also speaks at FINRA’s fall and spring annual conferences. He has appeared before the U.S. Congress to provide testimony on various SEC proposals and proposed federal oversight of the U.S. capital markets. He has authored several published articles on regulation of broker-dealers.
S. Anthony Taggart is an Executive Director & Counsel in the Litigation Department at Morgan Stanley in New York, where he is responsible for regulatory and civil litigation matters. Prior to joining Morgan Stanley in 2004, Mr. Taggart was the Director of the Utah Division of Securities for six years. Mr. Taggart originally joined the Division in 1993, and in addition to Director, he worked as a staff attorney, securities examiner, and the Director of Corporate Finance.
Mr. Taggart currently serves on the State Regulation and Legislation Committee for the Securities Industry and Financial Markets Association (SIFMA), a committee he previously chaired. He also previously served on the boards of directors of the North American Securities Administrators Association, the Utah Council on Economic Education and the Wayne Brown Institute. He taught and lectured on securities law at the University of Utah School of Law, Weber State University, LDS Business College and Salt Lake Community College.
Mr. Taggart holds a Juris Doctorate from the University of San Diego (’93), and a Bachelors of Science in Economics and a Bachelors of Arts in Political Science, both from the University of Utah (’90). Mr. Taggart is admitted to practice law in New York and Utah.
SUSAN MERRILL is a partner in Sidley’s New York office. Susan assists broker-dealers, investment advisers, financial institutions, exchanges and Fortune 500 companies across the U.S. in investigations before the SEC, CFTC, FINRA and state securities regulators. She also conducts internal investigations and advises clients on regulatory compliance matters. Susan is the former head of enforcement at FINRA, where she oversaw the establishment and development of its enforcement program. Susan has earned accolades from leading publications, including Law360’s Most Influential Women in Securities Law, The Legal 500 US (2013-2017), Chambers USA (2012-2020) and was named as Lawyer of the Year” in Securities Regulation The Best Lawyers in America (New York, 2020). Susan received her B.A., cum laude, from the University of Maryland, and her J.D., summa cum laude, from Brooklyn Law School.
William R. Baker, III is a partner in the Washington office of Latham & Watkins. For almost three decades, first as a senior officer at the SEC, and then at Latham, Mr. Baker has worked on some of the most significant securities regulatory and corporate governance matters. Today, he represents financial institutions, corporations, auditing and other professional firms in SEC and other regulatory enforcement proceedings. In addition, Mr. Baker conducts internal investigations on behalf of management and boards of directors. He regularly counsels clients on SEC reporting, disclosure, compliance and corporate governance requirements.
Prior to joining Latham, he served as Associate Director of the SEC’s Division of Enforcement where he was responsible for supervising all types of SEC enforcement activities, including investigations involving issuer accounting fraud and other disclosure violations, insider trading, market manipulation and broker-dealer and investment adviser misconduct. Mr. Baker led numerous high-profile investigations that resulted in several landmark enforcement actions, including the SEC's action against WorldCom Inc., involving one of the largest financial frauds in history. While at the Commission, he was a recipient of the SEC's Stanley Sporkin Award, awarded by the Chairman of the SEC in recognition of outstanding contributions to the Enforcement program, and of the Commission's Law and Policy Award.
Mr. Baker is consistently recognized as a leading securities lawyer by Chambers USA and The Legal 500 US and is listed as one of the Best Lawyers in Washington by Washingtonian magazine. In 2017, he was named to BTI Consulting Group’s “Client Service All-Star List,” which recognizes national leaders in superior client service identified directly by corporate counsel and executives. He is the co-author of "Corporate Internal Investigations after Sarbanes-Oxley" published in Volume II of The Practitioner's Guide to the Sarbanes-Oxley Act (American Bar Association 2005) and is a contributor to Securities Law Techniques (Matthew Bender). He was named to the Securities Docket 2017 "Enforcement 40" list, which lists the forty leading securities enforcement defense attorneys.
Mr. Baker is a Trustee of the SEC Historical Society. Previously, he was an adjunct professor at George Washington University Law School, where he taught Securities Regulation. He is a frequent author, speaker and panelist on securities law issues at programs organized by a wide variety of groups, including the American Bar Association, the District of Columbia Bar Association, the Association of the Bar of the City of New York, SIFMA, the Justice Department's National Advocacy Center, the Practicing Law Institute, Georgetown University Law Center and Stanford Law School.
As the former head of enforcement and Management Committee member at the Financial Industry Regulatory Authority (FINRA), Susan Schroeder has deep insight into the priorities and procedures of the regulatory bodies that govern the financial services industry, including the US Securities and Exchange Commission (SEC), FINRA, exchanges, and state securities regulators. In addition, Ms. Schroeder calls on her extensive experience overseeing thousands of regulatory investigations to assist and advise clients in all aspects of internal investigations, including detecting potential misconduct, complying with reporting obligations and effectively remediating systemic problems.
While at FINRA, Ms. Schroeder prioritized coordination with other financial regulators to minimize costly and inefficient regulatory duplication. She led the transformation of FINRA’s Enforcement program to create a unified department with clear priorities, and was the primary architect of FINRA’s updated policy regarding cooperation credit. She has in-depth experience regarding supervisory and anti–money laundering violations, market access, market conduct rules, customer protection, and disclosure violations. Ms. Schroeder draws on this insight and more than a decade of experience in private practice to advise broker-dealers and other clients investigating potential issues and responding to inquiries from the SEC, self-regulatory organizations (SROs), and state securities regulators. In addition, Ms. Schroeder provides counseling on current issues shaping the financial industry, including Regulation BI, the impact of CAT, and shifting financial and operational requirements.
Ms. Schroeder’s significant experience extends beyond securities enforcement; as a former executive responsible for managing a national organization, she has worked directly with boards of directors and C-suite executives to advise on all aspects of enterprise risk, including employee relations and personnel management, government relations, and media strategy. Ms. Schroeder has also been a frequent public speaker and an active leader in diversity initiatives.
Ms. Schroeder rejoined WilmerHale in 2020 after eight years at FINRA, where she served as the head of enforcement from 2017–2019 and the deputy head of enforcement from 2011–2017. Ms. Schroeder initially joined WilmerHale in 2004, and represented investment banks, investment advisers, broker-dealers, public companies, hedge funds and individuals in a wide range of enforcement matters before the SEC, SROs and state securities authorities.
Chuck Senatore is a board member and advisor to companies with particular emphasis on compliance, risk, and regulatory affairs. His current focus is on companies engaged in Fintech/Regtech, artificial intelligence, cryptocurrency and blockchain businesses.
Mr. Senatore also founded the Boston Regtech Meetup, and is a member of the Massachusetts Secretary of State's Fintech Advisory Working Group.
He teaches Compliance and Regulatory Strategy at the University of Chicago Law School, is a Senior Fellow at NYU’s Program on Corporate Compliance and Enforcement, has guest lectured at Harvard Law School, NYU Law School and Northeastern University, and is a frequent speaker and contributor at industry and academic forums.
Most recently, Mr. Senatore was Head of Risk Oversight for Fidelity Investments’ Devonshire Investors unit, focusing on compliance, risk and regulatory affairs for Fidelity’s private equity, venture and strategic investing efforts.
He also has led the global compliance programs for Fidelity and Merrill Lynch, was the SEC's Southeast Regional Director, and was an Assistant U.S. Attorney and Chief of the Public Corruption Section in the Southern District of Florida.
Mr. Senatore received a Bachelor of Arts in Economics from Williams College and earned a J.D. from the University of Chicago Law School.
Ghillaine co-leads the securities investigations and enforcement practice at Troutman Pepper. She focuses her practice on government and securities regulatory investigations, financial services litigation, commercial litigation and corporate compliance. Drawing on her experience in government service and private practice, Ghillaine regularly represents corporations and individuals in investigations conducted by the Securities & Exchange Commission, the Department of Justice, the Financial Industry Regulatory Authority and other government and regulatory agencies. Ghillaine has successfully defended several high profile SEC investigations and enforcement proceedings involving a wide range of significant issues, including insider trading, accounting fraud, market manipulation and broker-dealer sales practice violations. Prior to entering private practice, Ghillaine was a Branch Chief and Staff Attorney in the New York Regional Office of the Securities & Exchange Commission's Division of Enforcement, where she investigated and litigated a wide range of securities enforcement matters.
Ghillaine also represents clients in complex financial services and commercial litigation matters, in both federal and state courts. She has achieved favorable outcomes in cases involving fraud, breach of contract, breach of fiduciary duty, misrepresentation and tortious interference. She has also successfully defended clients in large scale arbitration proceedings, both through the Financial Industry Regulatory Authority and the American Arbitration Association.
Jack leads Bank of America's Regulatory Inquiries Group, which responds to regulatory inquiries that potentially present significant reputational, financial or legal risk to Bank of America Corporation and its subsidiaries, including Merrill Lynch. He is a member of the Legal Department’s Diversity and Inclusion Business Council and serves on the board of the Adams Street Foundation, which supports the Urban Assembly School for Law and Justice in Brooklyn, New York.
Jack received a Bachelor of Science degree in Economics and in Psychology from Brown University in 1982, and a Juris Doctor degree from the University of Pennsylvania in 1985.
Prior to joining Bank of America in 2005, he served in the Securities and Exchange Commission's Division of Enforcement for twelve years, including three years as a trial lawyer and nine years as an investigative attorney. While employed by the SEC, he also served as a Special Assistant United States Attorney in the Eastern District of Virginia, where he handled various criminal matters.
Prior to joining the SEC, Jack spent four years at a law firm practicing antitrust law, which was preceded by three years at the Federal Trade Commission's Bureau of Competition.
Manal Sultan is currently the Deputy Director for the Division of Enforcement and is in charge of the Division’s New York office. Ms. Sultan represented the Division in many enforcement actions, including virtual currency matters, which are filed in the United States District Court and focus on allegations of manipulation, fraud, and trade practice misconduct. She has also successfully negotiated and settled many actions including benchmark cases and spoofing cases. Prior to being appointed Deputy Director, she has served as a chief trial attorney with the Division of Enforcement at the CFTC in New York. She also served as the Squad Leader of the Manipulation and Disruptive Trading squad of the Division. Ms. Sultan is a graduate of Fordham Law School. In addition, she holds an MBA in finance and information technology.
Mr. Citera is senior legal advisor to large banks, investment banks, brokerage firms and other financial institutions in complex legal, regulatory and compliance matters. Previously, he was a Managing Director and Associate General Counsel at J.P. Morgan Chase & Co. where he managed the cash equities legal team. Before joining J.P Morgan, he was Counsel in the Financial Institutions Group at Davis Polk & Wardwell and one of the senior lawyers in that firm’s Trading and Markets Practice. Mr. Citera also served as Deputy General Counsel at PaineWebber Securities and Regulatory Risk Manager for the U.S. Equities Division of UBS Investment Bank. Earlier in his career, he was an attorney in the SEC’s Division of Market Regulation and Office of General Counsel and Special Counsel at the law firm Wilmer, Cutler & Pickering. Mr. Citera has been a guest lecturer at the Rockefeller College of Public Administration at SUNY Albany, the University at Buffalo Law School, and Albany Law School. He serves on the Dean’s Advisory Board to Rockefeller College and on the Advisory Council for the Institute of Financial Market Regulation at SUNY Albany. Mr. Citera obtained his J.D. degree from the University at Buffalo Law School and his B.A. from the State University of New York at Albany.
Ronak Patel is a member of Winstead’s Litigation Practice Group and Securities Litigation & Enforcement Practice Group. He focuses on a wide range of securities regulatory and litigation matters. He is an experienced litigation attorney who possesses extensive regulatory experience with securities regulatory agencies across the U.S.
Before establishing his private practice, Ronak served as Deputy Securities Commissioner of Texas. He held numerous leadership positions with the North American Securities Administrators Association (NASAA), working very closely with state and federal securities regulators across the country. As a regulator, he led the prosecution of a number of high profile investigations involving matters such as the 2008 failure of the auction rate securities market, Ponzi schemes, broker misconduct and complex investment products. Patel now draws on that experience to navigate broker-dealers and investment advisers through complex regulatory investigation, enforcement actions, and litigation involving allegations such as failures to supervise, fraud, and breach of fiduciary duty.
Patel practices before the Texas State Securities Board, the Massachusetts Securities Division, the Florida Office of Financial Regulation and many other state securities regulators as well as the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Consumer Financial Protection Bureau (CFPB), and the Commodity Futures Trading Commission (CFTC).He represents broker-dealers, investment advisers, hedge funds and other private funds, public companies, asset managers, gate-keepers, and other institutions in government investigations, securities law enforcement matters and related litigation.
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Christopher J. Mahon is a senior vice president and head of broker-dealer legal and regulatory at AllianceBernstein, where he manages the legal and compliance functions globally for its institutional broker, Bernstein. He serves on AB’s enterprise-wide ethics, conflicts, and internal control committees as well as other of its risk, governance and policy committees.
Chris is a member of the Compliance Advisory Committee of the U.S. Financial Industry Regulatory Authority, FINRA. He is a former member of FINRA’s National Adjudicatory Council, serving as its Vice Chair in 2015, and of FINRA’s International Advisory Working Group. Chris is a current member and former co-chair of the Securities Industry and Financial Markets Association’s Compliance and Regulatory Policy Committee. He is an executive officer of SIFMA’s Compliance and Legal Society, contributing to the group’s various policy, advocacy and educational efforts. He chaired C&L’s annual conference in 2016.
Chris is an adjunct faculty member at Fordham University’s Gabelli School of Business, where he teaches a course on financial regulation, compliance, and risk management.
Previously, Chris was a managing director at Deutsche Bank, where he held senior global and regional roles in equities and investment banking compliance. He also was the director of compliance and counsel at D.E. Shaw & Co. Chris served as a senior counsel in the U.S. Securities and Exchange Commission’s Division of Enforcement and was an associate in litigation and antitrust at Cadwalader. Chris is a graduate of New York University School of Law, where he was an editor-in-chief of the Annual Survey of American Law. He is a summa cum laude graduate of Rutgers College.
Tanya Solov has served as Director of the Illinois Securities Department since her appointment in 1999 by Secretary of State Jesse White. She began working for the Securities Department in 1994 as the Senior Attorney and then as the Assistant Director for Enforcement. Prior to this, she served as an Illinois Assistant Attorney General handling trial and appellate work, and worked in the private sector as a management consultant at Arthur Anderson. She serves on various NASAA project groups involving broker dealers, arbitration, and legal issues and is an active member of the Illinois State Bar Association’s Business and Securities Committee.