Abbe R. Tiger currently is the Head of Compliance US for Computershare, Inc. and Chief Compliance Officer for Georgeson Securities Corporation. Abbe joined Computershare in October 2013. She is an attorney who has been admitted to practice law since 1983. Just prior to joining Computershare, Abbe served as the Chief of the New Jersey Bureau of Securities in the New Jersey Office of Attorney General where she oversaw a staff of professional and clerical staff charged with administering all aspects of the New Jersey securities laws. In that position, Abbe also sat on the Investment Advisor and Enforcement Committees of the North American Securities Administrators Association (NASAA).
Earlier in her career, she served as an Assistant District Attorney in Brooklyn, NY and a Branch Chief in the Division of Enforcement of the US Securities and Exchange Commission in Washington, DC. Abbe also spent 14 years in various in-house roles at Merrill Lynch including as the Head of Internal Reviews. Abbe received her BA and JD degrees from the State University of New York at Buffalo. Abbe holds Series 7, 24 and 99 securities licenses.
Chuck Senatore is an executive vice president and head of risk oversight for Devonshire Investors, a unit within FMR LLC, the parent company of Fidelity Investments. Devonshire Investors focuses on long-term investments in operating companies and real estate, as well as the management of private venture funds. In his role, Mr. Senatore is accountable for oversight and strategic direction pertaining to the compliance, legal, regulatory and risk related functions for Devonshire’s constituent businesses. He also serves as Chief Compliance Officer for Impresa Management LLC., a registered investment adviser within the Devonshire unit.
In earlier roles at Fidelity, he led the firm’s global compliance and ethics function for over eleven years, and served as the firm’s head of regulatory coordination and strategy.
Prior to joining Fidelity in May 2003, Mr. Senatore served as Co-Head of Global Compliance at Merrill Lynch, and Head of the firm’s Regulatory Affairs Group. From 1994 to 1997, Mr. Senatore served as Director of the Securities and Exchange Commission’s Southeast Region.
Prior to his service at the Commission, Mr. Senatore practiced law in South Florida, and served as an Assistant U.S. Attorney in the Southern District of Florida, including service as Chief of that office’s Public Corruption Section.
Mr. Senatore is a member of the Standing Advisory Group to the Public Company Accounting Oversight Board. He is also a member of the American Law Institute, advising on its project on the Principles of the Law, Compliance, Enforcement, and Risk Management for Corporations, Nonprofits, and Other Organizations. He served previously as Chair of FINRA’s National Adjudicatory Council and Chair of the Board of Directors of the National Society of Compliance Professionals.
Mr. Senatore is also a lecturer in law at the University of Chicago Law School, teaching Compliance and Regulatory Strategy. Earlier, he was an Adjunct Professor of Securities Regulation at the University of Miami Law School.
Mr. Senatore received a Bachelor of Arts in Economics from Williams College and earned a J.D. from the University of Chicago Law School.
Daniel Nathan, a partner at Morvillo LLP, uses his deep enforcement and regulatory experience to represent U.S. and international financial institutions and individuals before financial regulators. With a combined 26 years as a senior enforcement official with the SEC, CFTC and FINRA, he is a particularly effective advocate for those facing investigations and/or enforcement action by those regulators.
Mr. Nathan provides clients facing SEC and FINRA examinations and enforcement investigations with detailed guidance and counsel related to broker-dealer supervisory procedures, sales practices, research, anti-money laundering, product disclosure and supervision, and securities and broker registration. He also represents clients in SEC investigations involving financial reporting, insider trading, the JOBS Act, Dodd-Frank Act, ETFs, and the EB-5 Visa program. On the derivatives side, he represents energy companies and traders and other market participants in CFTC and derivatives SRO investigations. Mr. Nathan also speaks and writes frequently on a wide range of topics concerning financial institutions and enforcement.
Lee Richards is a founding partner of Richards Kibbe & Orbe LLP. He concentrates his practice in white collar criminal defense, securities enforcement defense, regulatory proceedings, internal investigations, and complex commercial litigations. He regularly represents investment banks, hedge funds, public companies, investment advisers, corporate officers and directors, and other professionals in investigations and proceedings by the DOJ, SEC, FINRA, and other governmental entities and SROs.
Prior to forming RK&O, Mr. Richards was an Assistant United States Attorney for the Southern District of New York, where he handled major prosecutions of insider trading and securities fraud, including the first successful criminal prosecution of an insider trading case in U.S. history. He has been recognized as one of the top ten White Collar Lawyers in New York by Conde Naste and was recently named one of The National Law Journal's Litigation Trailblazers & Pioneers.
Lynn A. Neils’ practice focuses on representing companies and individuals on matters related to white collar criminal defense, internal investigations, regulatory enforcement, corporate compliance and complex commercial litigation. Drawing on her extensive prosecutorial, corporate and private practice experience that spans more than twenty-five years, she has counseled clients in large-scale federal criminal investigations, as well as advised clients on the Foreign Corrupt Practices Act (FCPA) and other regulatory matters involving the SEC and federal, state and foreign regulators. Ms. Neils has significant trial experience in both the federal and state courts.
Ms. Neils is highly regarded by clients for her ability to "look at the full picture to get an understanding of what is going on" and her "impressive level of depth” (Chambers USA, Litigation: White-Collar Crime & Government Investigations, 2015).
Ms. Neils served as an Assistant United States Attorney in both the Southern District of New York (SDNY) and the District of New Jersey. During her more than 11 years as an Assistant United States Attorney, Ms. Neils worked on a wide variety of complex white collar cases, including securities fraud, accounting fraud, bank fraud, Bank Secrecy Act, tax fraud, wire fraud, money laundering, health care fraud, art fraud, insurance fraud, FCPA, U.S. sanctions and obstruction of justice matters.
In 2004, she was promoted to Chief of the Major Crimes Unit in the SDNY where she supervised approximately 20 senior Assistant United States Attorneys in handling the investigation and prosecution of a wide variety of complex, and often multinational, white collar cases. In that role, she coordinated with multiple prosecutorial and regulatory offices, including many outside the United States, including the U.K. Serious Fraud Office and the Financial Services Agency. She also acted as a liaison with the banking regulators in New York, including the Federal Reserve Bank, the Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency.
For several years, Ms. Neils also served as Senior Counsel at Johnson & Johnson and was responsible for handling a large caseload of criminal and civil matters; conducting internal investigations; advising on compliance and regulatory matters, including those related to the FCPA; and conducting training of employees on regulatory and legal matters, including those related to the FCPA and other anti-corruption laws and regulations.
Mark K. Schonfeld is a litigation partner in the New York office of Gibson, Dunn & Crutcher and Co-Chair of Gibson Dunn’s Securities Enforcement Practice Group. He is also a member of the Crisis Management and the White Collar Defense and Investigations Practice Groups.
Mr. Schonfeld’s practice focuses on the representation of financial institutions, public companies, hedge funds, accounting firms and private equity firms in investigations conducted by the Securities and Exchange Commission (SEC), Department of Justice (DOJ), States Attorneys General, Financial Industry Regulatory Authority (FINRA) and other regulatory organizations. Mr. Schonfeld also conducts internal investigations and counsels clients on compliance and corporate governance matters.
Mr. Schonfeld is ranked as a leading lawyer in Securities Regulation and Enforcement by Chambers USA: America’s Leading Lawyers for Business, which highlighted client praise for his “invaluable current knowledge of agency practice, procedure and personalities active at the SEC” and noted he is “a very strategic, seasoned professional. He's measured, thoughtful and incredibly proactive in terms of keeping clients updated. He's detail-oriented and produces extremely high quality work.”
Prior to joining Gibson Dunn, Mr. Schonfeld concluded a 12-year career with the SEC, the last four years as the Director of the New York Regional Office, the largest of the SEC’s regional offices. Mr. Schonfeld oversaw professional staff of nearly 400 enforcement attorneys, accountants, investigators and compliance examiners engaged in the investigation and prosecution of enforcement actions and the performance of compliance inspections of more than 4,000 SEC registered financial institutions in the
region. Mr. Schonfeld led the New York Office through one of the most vibrant and rapidly evolving periods in the history of the SEC and securities law enforcement and brought many of SEC’s major landmark cases dealing with complex accounting fraud, mutual fund trading, hedge fund abuses, foreign bribery, insider trading and market manipulation.
Pete White is co-chair of the Schulte Roth & Zabel Litigation Group and a member of the firm's Executive Committee. He regularly represents corporations and executives in criminal and related civil and administrative matters, including grand jury investigations, internal investigations, SEC enforcement proceedings, False Claims Act and qui tam lawsuits, and shareholder class actions. Pete has litigated disputes involving accounting and securities fraud, Foreign Corrupt Practices Act violations, government program fraud, false claims and statements, antitrust violations, public corruption, tax evasion, insider trading, and environmental violations. A former Assistant U.S. Attorney for the Eastern District of Virginia and the District of Columbia, Pete has served as lead counsel in over 80 federal and local jury trials and many more bench trials.
A recipient of the Department of Justice Director’s Award for Superior Performance as an Assistant U.S. Attorney, Pete has performed with comparable skill as a private practitioner. Among the many publications that have recognized him as a leading litigator are: Chambers USA, Washingtonian Magazine ("Washington’s Top Lawyers” – white collar criminal defense), Best Lawyers in America (corporate compliance law, criminal defense: white collar, and litigation-securities), Ethisphere: Attorneys Who Matter, The Legal 500 United States, Washington DC Super Lawyers, and The Washington Post (“Their Own Defense,” June 18, 2007).
Pete obtained his B.A., with high honors, from University of Notre Dame and his J.D. from The University of Virginia School of Law, where he was Order of the Coif and on the Management Board of the Virginia Law Review. Upon graduation, he had the distinction of serving as a law clerk to The Honorable Richard L. Williams of the Eastern District of Virginia.
Rob Stern is the Co-Chair of the Firm’s White Collar, Investigations, Securities Litigation & Compliance practice group.
Rob is a nationally ranked securities litigator with extensive experience litigating civil and government enforcement actions on behalf of financial services institutions, Fortune 100 companies and officers and directors of public companies.
For the past 20 years, Rob has handled many of the most complex financial services and civil and governmental securities matters. Rob possesses particular expertise litigating claims involving accounting-related matters, structured products, mortgages, futures and derivatives. Rob routinely represents financial institutions, public companies, officers and directors.
Rob is a faculty member for the Practicing Law Institute’s Securities Litigation program. Rob has also been nationally recognized as a leader in securities litigation by The Legal 500 and SuperLawyers.
Samantha J. Leventhal is the Global Financial Crimes Executive responsible for the oversight for Individual and Small Business Banking, Wealth Management and Investing. In this role, Samantha is responsible for driving the execution of the anti-money laundering program through the Consumer and GWIM businesses and evaluating and mitigating risks presented by those businesses.
Prior to this role, Samantha was the Global Wealth and Investment Management Risk Executive serving as the Chief Risk Officer for Merrill Lynch Wealth Management and Merrill EDGE. In this role, Samantha was responsible for looking across all seven risk types that define our risk management program and evaluate the impact of those risks on our retail broker-dealer activities.
Samantha joined Merrill Lynch & Co. Inc. in May 2002 as a member of the Office of General Counsel in the Global Monetary and Financial Control Group. This group was responsible for developing and implementing the company’s anti-money laundering program. Samantha was part of that team until 2008 and as part of the transition work between Bank of America and Merrill Lynch, Samantha assumed responsibility for the Enterprise Client Coverage Team which was responsible for building a client referral program between the newly combined Bank and broker-dealer. In 2012, Samantha joined GWIM Compliance and served as the GWIM Compliance Chief Operating Officer coordinating strategic business initiatives across the GWIM businesses. In 2015, Samantha was named the GWIM Compliance Executive responsible for the GWIM Investment Solutions Group and Retirement and Personal Wealth Solutions group overseeing the compliance program for these retail broker-dealer products. In 2017, Samantha was named the Merrill Lynch Wealth Management/Merrill EDGE Chief Risk Officer and Samantha assumed her current role as Global Financial Crimes Executive in May 2019.
Samantha graduated from the University of Pennsylvania where she studied Diplomatic History and subsequently attended the Benjamin N. Cardozo School of Law. After law school, Samantha practiced white collar criminal defense where she represented both corporations and individuals in complex business investigations.
Samantha lives in New York and is active with fundraising for the Memorial Sloan Kettering Cancer Center. Samantha is also an avid hiker and has hiked across six of the seven continents around the globe.
Samuel J. Winer is a partner in the Washington, D.C. office of Foley & Lardner, specializing in the representation of public companies, board members, senior executives, auditors, and financial services firms before the SEC and other regulators.
Sandy graduated from Boston University School of Law in 1974, where he served as an editor in the law review. After graduation, he served as a law clerk to the Chief Justice of the Supreme Court of Rhode Island and as special counsel in the Division of Enforcement of the SEC before going into private practice. Sandy has been a partner at Foley since 1995.
Mr. Winer has also been selected by his peers to be included in The Best Lawyers in America© since 2006 and was named the Washington, D.C. Securities/Capital Markets Law Lawyer of the Year by Best Lawyers® in 2015 and the Washington, D.C. Litigation – Securities Lawyer of the Year in 2017. He was rated to be one of the top securities regulation attorneys in the nation by Chambers USA for 2009-2017 and one of the top regionally in the District of Columbia for 2007, 2008, and 2009. Mr. Winer was selected for inclusion in the Washington, D.C. SuperLawyers® lists for 2008-2017.
Sandra M. Hanna represents public companies, boards of directors, senior officers, broker-dealers, investment advisers and other companies and individuals in civil, criminal and regulatory matters, including investigations by the Securities and Exchange Commission, Department of Justice, FINRA, SIGTARP and various other state and federal agencies. Her recent representative matters include cases concerning public company financial reporting and disclosure, the Foreign Corrupt Practices Act, and insider trading. Ms. Hanna has significant experience counseling broker-dealers and hedge funds in connection with regulatory and compliance issues, and has successfully guided clients through extensive examinations by the SEC and FINRA. Ms. Hanna also maintains an active civil litigation practice in securities class action and related commercial matters.
Ms. Hanna is recognized as a nationwide leader in securities enforcement matters in the 2014 and 2015 editions of Chambers USA: America’s Leading Lawyers for Business and was recognized as a leading attorney in the area of Securities Regulation in the 2016 edition of The Best Lawyers in America®. She has authored articles on securities enforcement matters and is a regular speaker at industry conferences. Ms. Hanna serves as the Co-Chair of the DC Bar Committee on Broker-Dealer Regulation and SEC Enforcement.
Prior to co-founding the firm, Ms. Hanna worked at Willkie Farr & Gallagher LLP, Foley & Lardner LLP and Morrison Foerster. During law school, Ms. Hanna participated in the Summer Honors Program at the Securities and Exchange Commission, in the Division of Enforcement. Prior to attending law school and business school, she ran an entertainment company, where she managed the professional and business careers of a number of Grammy Award-winning artists.
Ms. Hanna graduated from the United Nations International School in New York City, and from Tufts University (B.A. Sociology, 1993). She received a law degree and her MBA from Georgetown University in 2001.She is active in the Georgetown MBA Alumni Advisory Counsel, several charitable organizations and also devotes time to pro bono activities.
SUSAN MERRILL assists broker-dealers, investment advisers, financial institutions, exchanges and Fortune 500 companies across the United States in investigations before the SEC, CFTC, FINRA and state securities regulators. Susan 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. She joined FINRA from her position as enforcement chief at New York Stock Exchange Regulation when it merged with the NASD in 2007. Before she became a regulator, Susan was in private practice for 17 years and represented clients in some of the highest-profile matters on Wall Street.
Recent assignments include:
Elaine H. Mandelbaum was most recently General Counsel of Litigation and Regulatory Investigations of Citigroup’s Institutional Clients Group (ICG). She and her group were responsible for all litigation, arbitrations, internal investigations and regulatory inquiries and related investigations, sweeps and enforcement proceedings for Citigroup’s institutional businesses, including corporate and investment banking, sales and trading, capital markets origination, securities services, trade and treasury services and private banking. Elaine also was a member of the Global ICG Legal Management Committee. Prior to starting at Citigroup in 1997, Ms. Mandelbaum was a litigation attorney at the New York office of Jones, Day, Reavis & Pogue, and previously at Paul, Weiss, Rifkind, Wharton & Garrison.
Elaine is the current President of the SIFMA Compliance & Legal Society, and has served on the SIFMA C&L’s Executive Committee for over a decade. Elaine was previously Vice Chair of the FINRA National Adjudicatory Council, the appellate body for decisions rendered in FINRA disciplinary and membership proceedings. Elaine serves on the Board of Directors of the Legal Action Center and of the National Council of Jewish Women, and was the recipient of the 2015 “Woman Who Dared” Award from the NCJW.
Elaine is a frequent speaker at PLI, SIFMA and other industry conferences on topics relating to complex securities litigation, corporate governance, internal and regulatory investigations and issues relating to women in the securities industry. She is an honors graduate of Yale College and of Harvard Law School.
For over a decade, Karyn Polak has provided strategic business counsel for the banking, brokerage, and asset management business lines of top-ten financial institutions, supporting C-suite executives in accelerating growth and managing risk, including by building and leading exceptional teams. She also has over a decade of top law firm experience in corporate finance, securities, and M&A.
Karyn is Deputy General Counsel for PNC Bank, National Association, responsible for the Asset Management Group (AMG), one of PNC’s three main business lines. She has been with PNC Legal since 2011. Karyn’s team of 18 professionals includes lawyers and paralegals supporting AMG’s Wealth Management, Institutional Asset Management, Hawthorn multi-family office, PNC Capital Advisors, and PNC Realty Investors businesses.
Karyn came to PNC from Citigroup, Inc., where she most recently served as General Counsel for its Morgan Stanley Smith Barney joint venture. Prior to that role, Karyn held a number of legal positions at Citi, including General Counsel and Managing Director for the Citi Private Bank; General Counsel and Managing Director for Citi Investment Research; and Managing Director for the Institutional Clients Group. In private practice prior to Citi, Karyn was a corporate associate covering capital markets, corporate reporting, and mergers and acquisitions at Cleary Gottlieb Steen & Hamilton LLP, Rogers & Wells (now Clifford Chance), and Jones Day in New York City.
Karyn is on the Board of Directors and Governance Committee and is the Corporate Secretary of Philabundance, the region’s largest hunger relief organization. She is also a Board member of the Economy League of Greater Philadelphia; co-chair of the The National Women’s Law Center Leadership Advisory Council; and a member of The Forum of Executive Women, the Women’s In-House Counsel Leadership Institute (WIHCL), and Impact100. She participates in financial industry, Bar association, and women’s initiative groups to address legal issues as well as diversity, leadership, and law firm/department management matters and has spoken extensively on these topics. Before moving to Philadelphia, she was a member of the New York City Bar’s Women in Law Committee. In 2009-2010, Karyn completed the Coro Leadership New York program, a year-long civic engagement program for public, private, and government sector professionals.
Mr. Hotz, a former federal prosecutor, represents individuals and corporations in white collar matters and related civil litigation. Prior to joining Akin Gump in 2004, Mr. Hotz served for more than five years as a prosecutor in the U.S. Attorney’s Office for the Southern District of New York and was a member of the Securities and Commodities Fraud Task Force. He was co-lead prosecutor in the successful insider trading prosecutions arising out of the leak of the U.S. Treasury Department’s decision to suspend issuance of the 30-year bond.
Mr. Hotz is a member of the New York Council of Defense Lawyers and the New York State Bar Association Committee on White Collar Criminal Litigation. He has written and spoken on developments in white collar crime.
Mr. Hotz’s recent matters include:
Sheldon L. Pollock is an Assistant Director for the Division of Enforcement in the U.S. Securities and Exchange Commission’s New York Regional Office. Prior to becoming an Assistant Director in 2015, Mr. Pollock was a Senior Counsel in Enforcement’s Market Abuse Unit, during which time he also served as a Special Assistant United States Attorney in the United States Attorney’s Office for the District of Connecticut. Before joining the SEC in 2010, he practiced law at Davis Polk & Wardwell LLP. Mr. Pollock began his career as a law clerk for the Honorable Colleen Kollar-Kotelly on the United States District Court for the District of Columbia from 2001 to 2003. Mr. Pollock received his JD from Harvard Law School in 2001, an M.Sc. in International Accounting and Finance from the London School of Economics in 1998, and a Bachelor of Science in Accountancy from Villanova University in 1997. He also serves as an Adjunct Faculty Member at Seton Hall Law School where he teaches a course on Securities Regulation.
Jessica B. Hopper is FINRA’s Senior Vice President and Deputy Head of Enforcement, responsible for the Regional Enforcement program in the 14 FINRA District Offices throughout the country. She joined FINRA Enforcement in 2004 and served as a Director in FINRA’s Washington D.C. home office until 2011. Prior to joining FINRA, from 2000 to 2004 she was part of Legg Mason Wood Walker, Inc.’s Legal & Compliance team, where her responsibilities focused on retail sales compliance. She began her career as a litigation attorney in private practice.
MaryJeanette Dee is a partner in the Government Contracts, Investigations and International Trade Practice Group in the firm’s New York office. She is the Team Leader of the Securities Enforcement Team and a member of the firm’s Executive Committee. She also serves as the Firm’s Co-Managing Partner.
MaryJeanette concentrates in internal investigations and regulatory and white collar criminal defense. Ms. Dee frequently represents banks, broker-dealers, investment advisers, corporate officers, financial advisors and other securities professionals in connection with domestic and cross-border investigations and inquiries by U.S. Attorney’s Offices for the Southern and Eastern Districts of New York, the SEC, the CFTC, FINRA, the NY Attorney General’s Office, the FRB, the NY Department of Financial Services and other governmental entities and self-regulatory organizations. She has conducted numerous internal investigations into a wide variety of allegations, including insider trading, trading and position valuation issues, misuse of confidential information, embezzlement, money laundering and BSA/AML issues, sanctions compliance and retail brokerage sales practice violations.
Hank Walther is an accomplished investigator and trial lawyer. He has significant experience investigating and defending Foreign Corrupt Practices Act, health care fraud, securities fraud, False Claims Act, and other financial fraud matters. As a former federal prosecutor who led large, complex financial fraud and corruption cases at the Department of Justice, Hank often handles sensitive U.S. and cross-border matters that could significantly impact a company's health and reputation. Hank has conducted financial fraud and corruption investigations in the U.S. and in more than 25 other countries. He defends companies that are facing criminal prosecution and civil liability from numerous government agencies and civil litigants in multiple countries.