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Banking Law Institute 2018


Speaker(s): Albert D. Chang, Andrew James Lom, Anna M. Harrington, Beth Knickerbocker, Brian H. Montgomery, Brian S. Trackman, Derek M. Bush, Elizabeth A. Cooper, Eric W. Leathers, James E. Franklin, Jessie Cheng, Jonice Gray Tucker, Jordan E. Boyd, Kieran J. Fallon, Laurie S. Schaffer, Lee A. Meyerson, Linda W. Jeng, Malini Mithal, Mitchell S. Eitel, Nicholas G. Demmo, Randall D. Guynn, Scott R. Tkacz, Sean D. Carmody, Shaun Berrett, Stephanie E. Webster, Sven G. Mickisch, Vijay Raghavan, William D. Haas, William J. Sweet, Jr.
Recorded on: Nov. 30, 2018
PLI Program #: 219774

Albert D. Chang joined the Bureau of Consumer Financial Protection in 2013 and currently serves as Counsel in the Office of Innovation, where he advises the Innovation Director and focuses on policies and procedures that facilitate consumer-friendly innovation.  Prior to his current appointment, Albert served as co-chair of the Bureau’s Alternative Data Working Group; Counsel and Louis D. Brandeis Fellow in the Office of Fair Lending & Equal Opportunity; and Policy Assistant in the Office of Card and Payment Markets.  Albert attended law school and joined the Bureau after stints at American Express and Ernst & Young, where he specialized in fair lending compliance and model risk management.  Albert received his B.A. in Physics and Economics from Swarthmore College and J.D. from Yeshiva University.


Andrew James Lom is a partner in the New York office and United States co-head of the Asset and Wealth Management International Business Group.  He represents family offices, asset managers, investment funds, and institutional investors on transactional and regulatory matters.

Andrew advises clients on fund formations, private equity and debt transactions, cross-border structuring, co-investments and joint ventures, investment due diligence, side letter negotiations, venture capital financings, trading and derivatives transactions, structured products, investment adviser registration, and ongoing SEC and related regulatory compliance.  Building on his engineering background, Andrew also works with clients to develop innovative products and services relating to cryptocurrency, blockchain and smart contracts.  Many clients seek Andrew's thoughtful and practical guidance with respect to governance and fiduciary issues, succession planning, service provider relationships and other significant business decisions.

Andrew has been recognized by the National Law Journal as a 2018 trailblazer in Cryptocurrency, Blockchain and Fintech.  He is the Chair of the American Bar Association's Family Office Subcommittee and is an active participant in the New York Alternative Investment Roundtable and the Managed Funds Association's Outside Counsel Forum.  In addition, Andrew is a contributor to the Financial Services: Regulation Tomorrow blog, which provides insight and commentary on the global financial regulatory environment.

Andrew graduated with a J.D. from Georgetown University Law Center and has an A.B., with honors, in engineering and economics from Brown University.  He has prior experience in state consumer protection enforcement and worked as a financial and technical analyst for an energy/emissions broker.


Anna M. Harrington is a member of the Financial Institutions Practice Group at WilmerHale where she advises clients on complex regulatory and transactional matters.  Prior to WilmerHale, Ms. Harrington was the U.S. Head of Bank Regulatory Policy at Barclays.  In this role, she led and managed the development of U.S. bank regulatory policy priorities and strategy. 

Ms. Harrington previously served in both the Legal Division and in the Division of Supervision and Regulation of the Board of Governors of the Federal Reserve System where she was responsible for developing and implementing policy across a number of post-crisis Dodd-Frank Act rulemakings.  Ms. Harrington also analyzed numerous proposals, applications, and issues arising under U.S. banking laws, including the Bank Holding Company Act, the Change in Bank Control Act, the Federal Reserve Act, and the International Banking Act and related regulations. 

Ms. Harrington earned a J.D. degree, magna cum laude, from Boston College Law School, where she was elected to the Order of the Coif and served as a Note Editor on the Boston College Law Review.  She earned an A.B. degree, magna cum laude, in Economics from Harvard College.  Ms. Harrington is a member of the New York bar.


Beth Knickerbocker is the Chief Innovation Officer at the Office of the Comptroller of the Currency (OCC).

In this role, Ms. Knickerbocker is responsible for managing the day-to-day operations of the Office of Innovation and implementing of the OCC’s innovation framework. She served in an acting capacity in this role from October 2016 before officially taking on these duties in May 2017.

Prior to this role, Ms. Knickerbocker served on the OCC’s legal staff since 2014 working on a variety of legislative and regulatory matters and working groups related to cybersecurity, financial technology and financial innovation.

Prior to her work at the OCC, Ms. Knickerbocker served as a Vice President and Senior Counsel in the American Bankers Association’s (ABA) Office of Regulatory Policy from 2012 to 2014 and focused on implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, risk management, governance insider lending, transactions with affiliates, and bank examination issues. Before joining the ABA, Ms. Knickerbocker was the Chief Risk Officer for Marshall & Ilsley Corporation. She was also an attorney at the law firm Sutherland Asbill & Brennan LLP (now Eversheds Sutherland LLP). She began her career as an attorney with the OCC from 1992 to 2000, serving in the Enforcement and Compliance and Community and Consumer Law divisions.

Ms. Knickerbocker is a graduate of the University of Iowa College of Law, high distinction and earned a bachelor of arts in politics and international relations from Cornell College, magna cum laude, Phi Beta Kappa.


Brian Montgomery serves as Deputy Superintendent at the New York State Department of Financial Services. Mr. Montgomery leads the Department’s Consumer Examinations Unit and manages consumer compliance, fair lending, and Community Reinvestment Act examinations. He previously served as Supervising Counsel for Civil Investigations at the Department. In that role, he managed investigations and enforcement actions involving potential violations of state and federal consumer financial laws, including the New York Financial Services Law, Dodd-Frank, and fair lending laws. He was previously an Assistant Attorney General in the Bureau of Consumer Frauds and Protection at the New York State Office of the Attorney General.  Mr. Montgomery graduated from Colgate University in 1999 and cum laude from Lewis & Clark Law School in 2006.


Brian Trackman is the Attorney Lead for LabCFTC and is Counsel on FinTech and Innovation in the Office of General Counsel.  Mr. Trackman joined the Commission in 2013. He advises on a wide range of FinTech issues and is a senior member of the FinTech Interdivisional Working Group.  Representative projects at the CFTC include advising on security standards and system safeguards for key market infrastructure, business continuity and disaster recovery plans, automated trading, digital currency, and exchange traded products. 

Prior to joining the CFTC, Mr. Trackman worked at the Securities and Exchange Commission, where he focused on review of novel derivative securities products, market structure reform, and the oversight of alternative trading systems. 

Mr. Trackman previously worked on litigation related to the Y2K California energy crisis and was a clerk at the Federal Court of Claims.  Mr. Trackman holds a J.D. from Harvard Law School and graduated magna cum laude from Amherst College.


Derek M. Bush’s practice focuses on advising domestic and international financial institutions and foreign sovereigns regarding U.S. bank regulatory matters and legislation. His advisory practice spans a wide range of matters, including new regulatory requirements imposed under the Dodd-Frank Act, restructurings, corporate governance and investments by and in banking organizations. Mr. Bush’s practice also includes representing financial institutions in connection with corporate transactions, including mergers and acquisitions, asset sales, privatizations, capital markets transactions, joint ventures and strategic alliances. He also advises financial institutions and their boards of directors, employees and shareholders in internal investigations and in enforcement proceedings involving the U.S. federal banking agencies. In his advisory, corporate and enforcement practices, Mr. Bush represents clients before the Federal Reserve Board, Federal Reserve Banks, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation and the New York Department of Financial Services. 

Mr. Bush is distinguished as one of the leading financial services regulation lawyers by Chambers Global, Chambers USA, The Legal 500 U.S., The Best Lawyers in America and IFLR 1000: The Guide to the World’s Leading Law Firms and recognized in Law Business Research’s The International Who’s Who of Banking Lawyers. In addition, Mr. Bush was selected as Best Lawyers’ 2014 Washington, D.C. Banking and Finance Lawyer of the Year and is listed as one of the Best Lawyers for financial services by Washingtonian magazine.

Mr. Bush is a frequent speaker on regulatory and corporate matters affecting banks and other financial institutions. His recent publications include “U.S. Regulation of International Activities of U.S. Banking Organizations” in Regulation of Foreign Banks (2012), “Resolution Planning and the Volcker Rule” in The Banker’s How to Run a Bank (2012) and ”FSOC Reproposes the Nonbank SIFI Designation Rule” in BNA’s Securities Regulation & Law Report (2011). Mr. Bush is a co-author of the Guide to Bank Underwriting, Dealing & Brokerage Activities (West, 18th ed., 2013).

Mr. Bush joined the firm in 1995 and became a partner in 2003. He received a J.D. degree, with honors, from the University of Chicago, where he was an editor of the Law Review. He received an undergraduate degree, cum laude, from Princeton University in 1989. From 1994 to 1995, Mr. Bush served as law clerk to the Honorable Emilio M. Garza of the U.S. Court of Appeals for the Fifth Circuit.

Mr. Bush is a member of the Bar in the District of Columbia. His native language is English, and he speaks Spanish and Swedish.

 


Elizabeth A. Cooper is a Partner in the Firm’s Corporate Department and serves as one of the Firm’s Hiring Partners. Elizabeth’s practice focuses on mergers and acquisitions and other corporate transactions, with an emphasis on transactions for banks and other financial institutions. 

Representative M&A transactions in the financial services area on which Elizabeth has advised include:  

  • KeyCorp in its $4.1 billion acquisition of First Niagara Financial Group, Inc.
  • SunGard in its $9.1 billion sale to Fidelity National Information Services Inc.
  • KKR in its acquisition of Avoca Capital and investments in Focus Financial and PURE Insurance, as well as KKR and Caisse de dépôt et placement du Québec in their joint acquisition of USI Insurance Services
  • IBERIABANK in its acquisition of Sabadell United Bank
  • People’s United Financial in its acquisitions of Suffolk Bancorp, Danvers Bancorp, Smithtown Bancorp Inc., River Bankand Financial Federal Corporation
  • The Charles Schwab Corporation in its $1 billion acquisition of optionsXpress Holdings, Inc.
  • The Carlyle Group in its acquisition of The TCW Group, Inc. and its investment in Sandler O’Neill + Partners, L.P.
  • Lehman Brothers in the sale of its North American Investment Bank to Barclays Capital
  • Wachovia Corporation in its $6.8 billion acquisition of A.G. Edwards
  • Mellon Financial Corporation in connection with its $16.8 billion merger with The Bank of New York Company, Inc.

Elizabeth also represented the U.S. Treasury in connection with structuring and documenting its $250 billion program for purchasing equity in U.S. financial institutions under TARP and in connection with its equity investments in Citigroup and Bank of America. 

Elizabeth has been named an “MVP” for M&A in 2015 by Law360, highlighting her involvement in a number of the year’s most complex and prominent transactions. In addition, she was named a 2015 Rising Star by New York Law Journal, as well as the “Up & Coming  Regulatory Lawyer of the Year” at the inaugural Chambers USA Women in Law Awards. She has been recognized by Chambers USA: America’s Leading Lawyers for Business since 2011 and described as being “widely tipped to be among the next generation of elite lawyers.”

Elizabeth joined Simpson Thacher following her graduation in 2001 from Columbia Law School, where she was a James Kent Scholar. She received her A.B., cum laude, in 1997 from Harvard University. She is admitted to practice in New York and is a member of the Association of the Bar of New York City.


Eric Leathers is a Founding Partner of Further Global Capital Management and serves as a member of the Investment Committee.

Prior to joining Further, Mr. Leathers was a Partner at TPG Capital and led the firm’s investment efforts in the financial services sector. He has over 20 years of experience investing across the sector, including in the areas of insurance, asset management, specialty finance and depository institutions. Prior to joining TPG in 2012, Mr. Leathers was a Partner with Pine Brook Partners, where he shared responsibility for the management of the firm’s financial services investment activities. Prior to joining Pine Brook, he was a Partner at Capital Z Financial Services Partners and was responsible for sourcing and structuring investments within the financial services industry.  Mr. Leathers began his career in the investment banking division of Donaldson, Lufkin and Jenrette, where he specialized in mergers and acquisitions and corporate finance transactions for financial institutions.

Mr. Leathers is currently a director of ProSight Specialty Insurance and Assurant, Inc. and has previously served as a director of several privately held and publicly traded companies.

Mr. Leathers is a graduate of the University of Pennsylvania, where he received a B.S. in Economics from The Wharton School of Business and a B.A. in History from the College of Arts and Sciences.


Jessie Cheng is Counsel at the International Monetary Fund, where she provides technical assistance to member countries and works on legal, regulatory, and policy issues in the areas of fintech, crypto assets, and central banking operations.  Prior to joining the Fund, Ms. Cheng was Deputy General Counsel at Ripple, where she advised on cross-border payments, blockchain-based distributed financial technologies, and cryptocurrencies.  Previously, Ms. Cheng was counsel and officer in the legal group of the Federal Reserve Bank of New York, specializing in central bank financial services; before joining the Bank, she practiced law as an associate at the New York law firm Wachtell, Lipton, Rosen & Katz.  A member of the American Bar Association, Ms. Cheng currently serves as Chair of the Payments Subcommittee of the ABA Business Law Section’s Uniform Commercial Code Committee.  She holds a B.A. from Yale University and a J.D. from Columbia School of Law.


Jonice Gray Tucker is a founding partner with Buckley LLP and a member of the Firm’s governing board. Ms. Tucker specializes in work with banks, non-bank financial institutions, and other companies providing financial products and services. She works with some of the largest bank and non-bank financial institutions, emerging companies such as fintechs, and retailers whose business operations include consumer and commercial finance.

Ms. Tucker focuses a substantial portion of her practice on escalated supervision matters, investigations, and enforcement actions. She frequently serves as lead counsel in matters involving the DOJ, CFPB, HUD, FTC, and prudential banking regulators. She also represents clients in connection with matters involving state Attorneys General and other regulators such as the NYDFS, the California DBO, and state banking departments. In addition to her work before government regulators, Ms. Tucker counsels clients on compliance with laws governing financial services, conducts internal investigations, and represents clients in complex civil litigation.

Ms. Tucker has been recognized in Chambers USA as a leading lawyer in the category of Financial Services Regulation: Banking (Enforcement & Investigations) as well as in Super Lawyers (Consumer Law, Civil Litigation Defense, and Banking), Best Lawyers (Banking and Finance Law), and Legal 500 (Litigation). Ms. Tucker also has been featured in Washingtonian magazine’s Top Lawyers issue, the “Meet the Women Rainmakers” segment of Law Practice Today, in Law360’s Rainmaker series, and in Law360’s Minority Powerbroker series. In 2018, she received MCCA’s Rainmaker Award and also was recognized by Savoy as one of the nation’s Most Influential Black Lawyers.

Ms. Tucker is Chair of the American Bar Association’s Banking Law Committee, which has more than 2,000 members. She serves on the Board of Regents of the American College of Consumer Financial Services Lawyers and on the Executive Committee of the Board of Directors for the Legal Aid Society of the District of Columbia.

Ms. Tucker holds a J.D. from Yale Law School and B.A. from the University of Virginia (Phi Beta Kappa).


Jordan Boyd is a Vice President in Credit Suisse’s U.S. bank regulatory group.  His practice focuses on resolution planning, capital regulation and the Federal Reserve’s enhanced prudential standards, including TLAC, CCAR and DFAST, SCCL and the QFC stay rule.  He is also an adjunct professor at Fordham University Law School, where he co-teaches a course on bank regulation.

Before joining Credit Suisse, Mr. Boyd was an associate in Davis Polk’s Financial Institutions Group, having also worked at Fried, Frank, Harris, Shriver & Jacobson.  He received a Bachelor of Laws with First Class Honors and a Bachelor of Arts in Political Science and International Relations from Victoria University of Wellington and was admitted to the New Zealand Law Society in 2010.  In New Zealand, Mr. Boyd practiced at Chapman Tripp and clerked for Hon. Justice Wild at the New Zealand Court of Appeal, before accepting a Dean’s Graduate Award from NYU and studying for an LL.M.


Kieran J. Fallon is Senior Deputy General Counsel of The PNC Financial Services Group. He is responsible for PNC’s government, regulatory affairs and enterprise risk. 

Prior to being named to his current position, he served as PNC’s chief counsel of Regulatory Affairs and briefly as acting general counsel. 

Before joining PNC in May 2011, Fallon served as associate general counsel for legislation and special projects with the Board of Governors of the Federal Reserve System in Washington, D.C.  While at the Federal Reserve Board, he played a key role in the development and implementation of numerous significant legislative and regulatory initiatives during the past two decades, including the Dodd-Frank Act of 2010, the Federal Reserve's response to the financial crisis, and the Gramm-Leach-Bliley Act of 1999.  In addition, Fallon served as general counsel to the Financial Stability Oversight Board, one of the Federal oversight bodies for the Troubled Asset Relief Program (TARP), from 2008 to March 2011.  He is a recognized expert in a wide range of subjects under the Federal banking laws, and a regular speaker at industry conferences on regulatory reform and financial services regulation.

Prior to joining the Federal Reserve Board in 1995, he served as an associate in the financial services practice group of the Washington, D.C. office of Morrison & Foerster.  

Fallon earned his J.D. from the New York University School of Law where he graduated magna cum laude, and his B.S. in Foreign Service was received at Georgetown University where he graduated summa cum laude.


Linda Jeng is the Chief of Staff for Risk, Surveillance and Data at the Division of Supervision and Regulation of the Federal Reserve Board. She is the chair of a Basel Committee working group on open banking and APIs. Previously, she was a Member of the Secretariat of the Financial Stability Board. She has extensive experience in regulatory issues from her work at the Senate, Treasury, SEC, OCC, and Credit Agricole in Paris. Linda is a graduate of Duke University, Columbia Law School, and Université de Toulouse in France.


Malini Mithal is the Associate Director of the Federal Trade Commission’s Division of Financial Practices. In this capacity, she supervises investigations and enforcement actions challenging unfair or deceptive practices in the provision of non-bank financial services, including in the areas of FinTech, lead generation, short-term loans, debt collection, student loan debt relief, mortgage relief, and automobile advertising and financing. Under her leadership, the Division has also engaged in significant policy initiatives, including hosting workshops or issuing reports on marketplace lending, blockchain, artificial intelligence, peer-to-peer payments, crowdfunding, lead generation, mobile payments, and mobile cramming.

Ms. Mithal has held numerous positions at the Commission, including Counsel to the Director of the Bureau of Consumer Protection. Prior to joining the FTC in 2005, Ms. Mithal served as a law clerk for the Honorable Alan S. Gold of the U.S. District Court for the Southern District of Florida. She received her law degree from Columbia Law School and her undergraduate degree from Georgetown University.


Randall D. Guynn is a partner at Davis Polk & Wardwell and has been head of its Financial Institutions Group since 1994.  He is widely recognized as one of the country’s leading bank regulatory and bank M&A lawyers, and a thought leader on financial regulatory reform. He was named Banking Lawyer of the Year and the Most Highly Regarded Banking Lawyer in the World in 2014 and again in 2017 by Law Business Research’s International Who’s Who of Banking Lawyers and one of the 10 most innovative lawyers in the United States by the Financial Times in 2013.  He is currently ranked as a Star Individual in Banking (Compliance) and Band 1 in Financial Institution M&A Chambers USA 2018.  He was also named a Banking Thought Leader in Who’s Who Legal: Thought Leaders for 2017 and 2018.  The group he heads was named the "Financial Regulation Team of the Year" for two years in a row (2014, 2015) by the International Financial Law Review.

Mr. Guynn has advised the Bank Policy Institute (formerly The Clearing House Association) and the Securities Industry and Financial Markets Association, the principal trade organizations for U.S. banks, all eight of the largest U.S. banks, many of the most important foreign banks and a number of U.S. regional, mid-size,community and fintech banks. He played a key role in developing the single point-of-entry resolution strategy, which has been widely accepted as the most credible solution to the too-big-to-fail problem.  In addition to regulatory reform, his practice focuses on providing strategic bank regulatory advice and advising on M&A and capital markets transactions when the target or issuer is a banking organization or other financial institution. He also advises on regulatory enforcement actions and white collar criminal defense, bank failures and recapitalizations, corporate governance and internal controls, cross-border collateral transactions, credit risk management, securities settlement systems and payment systems.


Scott R. Tkacz is Senior Counsel in the Legal Division of the Board of Governors of the Federal Reserve System.  He is a member of the division’s Banking Regulation and Policy group and currently serves as a manager for applications and notices filed with the Federal Reserve pursuant to the Bank Holding Company Act, Bank Merger Act, Home Owners’ Loan Act, Change in Bank Control Act, and the Federal Reserve Act.

Prior to joining the Board in 2013, Mr. Tkacz was an associate in the Washington, DC offices of Orrick, Herrington & Sutcliffe and Willkie Farr & Gallagher, specializing in bank regulatory and corporate transactional work.

Mr. Tkacz received his JD from The College of William and Mary and his BA from the University of Virginia.


Stephanie E. Webster is General Counsel of the Institute of International Bankers.  Prior to joining the IIB, Stephanie was a Director and Counsel in the General Counsel division of Credit Suisse based in New York.  She was the head of the US Bank Regulatory & ERISA Legal group.  Ms. Webster joined Credit Suisse in January 2011.  Prior to that, she was an associate at the law firm of Linklaters in the financial regulations group, advising primarily on U.S. bank regulatory matters, and at the law firm of Goodwin Procter LLP in the financial services group.  Ms. Webster began her legal career at the law firm of Freshfields Bruckhaus Deringer LLP as an associate focused on international arbitration.  Ms. Webster received her J.D. from New York University School of Law and her B.A., with honors, from Brandeis University.  She is also an adjunct professor at Fordham University School of Law.


Sven Mickisch is a partner in the Financial Institutions Group at Skadden, Arps, Slate, Meagher & Flom LLP in New York.  He handles complex transactions and regulatory matters in the global financial services industry, with an emphasis on the banking, specialty lending and financial technology sectors. He represents financial institutions in mergers, acquisitions and financing transactions, and also has an active practice advising private equity firms investing in the financial services sector. In addition, he has handled numerous restructurings and recapitalizations involving financial institutions.  He has represented a broad spectrum of clients on their significant transactions, including large banking organizations such as American Express, BNP Paribas, Deutsche Bank, JP Morgan Chase, Sumitomo Mitsui Banking Corporation and Wells Fargo, regional banks such as AmericanWest Bank, Anchor Bancorp, Green Bancorp and Flagstar Bancorp, and private equity firms including Blackstone, Pine Brook, Stone Point and TPG. Mr. Mickisch received his J.D. at Columbia Law School and his LL.B. from the London School of Economics.


Vijay Raghavan is an assistant attorney general in the Consumer Fraud Bureau of the Illinois Attorney General’s Office, where he litigates violations of consumer protection laws in federal and state court.  Prior to joining the Attorney General’s office, Vijay was a public service fellow at Prairie State Legal Services, Inc., and a tax associate at Skadden, Arps, Slate, Meagher & Flom LLP in Chicago.  Vijay graduated from the University of Chicago Law School in 2007.


After an early career working in various roles at banks, Shaun joined the Utah Department of Financial Institutions (UDFI) in 1998 as an examiner and has enjoyed an 20 year career in bank supervision.  He has worked for the State of Utah and Federal Reserve Bank of San Francisco.  Shaun’s experience includes serving as the dedicated EIC for two large and complex institutions.  His exam experience includes safety and soundness, DFAST/CCAR, fintech partnerships, information technology, payment systems, and examining technology service provider/data centers.  Before transitioning to his current role, Shaun designed and started UDFI’s holding company supervision program.  Since February 2015, Shaun has served as UDFI’s Supervisor of Industrial Banks, where he currently oversees a portfolio of 14 industrial banks totaling $117 billion in total assets.  Shaun, his wife and three children reside in Salt Lake.  He is a graduate of the University of Utah.


Jim Franklin is Vice President and Chief Mergers & Acquisitions Counsel for American Express.  In that capacity, Jim oversees and participates in the structuring, negotiation and execution of Amex’s M&A, joint venture, and venture investment transactions globally, as well as related integration activities.  He also manages the legal support for American Express’ Strategic Planning Group and Amex Ventures, American Express’ strategic investing unit. 

Jim has over fifteen years of M&A experience, and since joining American Express in 2011 he has led the legal side of numerous strategic transactions, including multiple acquisitions, strategic investments, restructurings and, most recently, the formation of the Company’s China Network joint venture. He has also worked closely with Amex Ventures to develop Amex’s legal strategy as both a venture investor and a Bank Holding Company.  In addition, he currently serves as the Co-Chair of the American Express Pro Bono Committee.

Prior to joining American Express, Jim worked in the Mergers & Acquisitions group at Debevoise & Plimpton, where he focused on public and private M&A and corporate governance.  Representative transactions include Amazon’s acquisition of Audible.com and Aggreko’s acquisition of GE’s Energy Rentals business. 

Jim received his J.D. from Columbia Law School and his B.A. with Honors from Brown University, where he majored in History.  

Jim lives in New York City with his wife and three-year old daughter. 


Laurie Schaffer, assistant general counsel for banking and finance, Treasury Department: She was vice president and general counsel at Charles Schwab before joining Treasury in April 2008. She advises on Treasury's borrowing authorities, debt issuing activities, financial markets oversight, regulation of the government securities market, and issues affecting the financial services industry.


Lee Meyerson specializes in mergers and acquisitions and in capital markets transactions for financial institutions. Lee, who is Head of the Firm’s Financial Institutions Practice and former head of its M&A Group, has participated in many of the largest U.S. financial services mergers of the past decade, including representing JPMorgan Chase & Co. in its $58 billion merger with Bank One, Mellon Financial in its $16.8 billion merger with The Bank of New York and The Toronto-Dominion Bank in its acquisitions of Commerce Bancorp ($8.5 billion), Chrysler Financial ($6.3 billion) and Target’s credit card portfolio ($5.9 billion). His transactions over the past several years also include representing KeyCorp in its $4 billion acquisition of First Niagara, JPMorgan Chase in the $3.5 billion sale of its global physical commodities business, private equity investors in their $1 billion investment in Banco Santander’s U.S. auto finance business and its subsequent IPO, The Charles Schwab Corporation in its $1 billion acquisition of optionsXpress, The Carlyle Group in its acquisition of the TCW Group (a $130 billion AUM asset manager) and Blackstone and Carlyle in their majority investment in First Eagle (a $90 billion AUM asset manager). At the height of the financial crisis in October 2008, he represented the U.S. Treasury in connection with developing, structuring and documenting its $250 billion TARP program for purchasing equity in U.S. financial institutions. In addition, during this period he represented a broad variety of bank bidders and investor consortiums in recapitalization transactions and FDIC failed bank auctions.

Lee’s capital markets practice includes IPOs and a broad range of debt and equity offerings for banks, thrifts, insurance companies and other financial services companies. He has been ranked as one of the leading M&A and banking lawyers in the United States in a number of recent surveys, including The American Lawyer, which selected him as a "Dealmaker of the Year" for both 2008 (no. 4) and 2005, Chambers USA 2016 Guide to America’s Leading Lawyers for Business (Financial Institutions M&A – Band 1; Financial Services Regulation – Band 3), Who’s Who Legal (“Top 10” lawyer in Banking 2015), and The Legal 500 US 2015 (Leading lawyer in Financial Services: Regulatory and M&A: mega-deals).

Lee joined Simpson Thacher in 1981 and became a partner in 1989. He received his A.B., magna cum laude, from Duke University and his J.D. from New York University School of Law, where he was an editor of the New York University Law Review.


Mitch Eitel is Managing Partner of Sullivan & Cromwell’s Financial Services Group and co-Managing Partner of S&C’s global General Practice Group. He has a broad practice covering the needs of the Firm’s financial services clients, focusing largely on governance and on the corporate, securities and regulatory aspects of mergers and acquisitions and other transactional matters for banks, asset managers, insurers, broker-dealers, finance and financial technology companies. Mr. Eitel has worked on many of the largest, most complex transactions in the financial services industries, including the major transactions of the financial crisis. In addition to transactional work, Mr. Eitel works with S&C’s financial services clients on a wide range of regulatory and enforcement matters. These have included subjects such as resolution planning, anti-money laundering, consumer compliance, cyber-security and other areas of regulatory scrutiny. 

Mr. Eitel has been recognized widely for his work, including being twice named a “Dealmaker of the Year” by The American Lawyer magazine. He also has been named a “Dealmaker of the Week” by the same publication. Mr. Eitel’s recognitions also reflect his approach to client service, having been named by BTI Consulting to its Client Service All-Star Team. Law360 recently stated Mr. Eitel “has for years been one of the banking bar’s preeminent voices.”
 
Mr. Eitel is a frequent speaker and panelist, particularly in the areas of financial services M&A, regulation and enforcement. He is co-chair of the annual SNL Bank M&A Symposium. Mr. Eitel is a member of The American Law Institute. He also serves as legal counsel to the Archaeological Institute of America.


Nicholas G. Demmo joined Wachtell, Lipton, Rosen & Katz in 1997 and was elected partner in 2004. Mr. Demmo focuses on M&A transactions and other critical situations involving banks and other financial institutions, and he has a broad range of experience in complex transactional, securities, private equity, regulatory, governance, activism and compliance matters. Mr. Demmo has worked on numerous public and private company acquisitions, corporate control contests, securities offerings, corporate governance matters and joint venture transactions.

Mr. Demmo received his B.A. in economics from Yale University in 1993 and his J.D. from The University of Pennsylvania in 1996, where he served on the Journal of International Economic Law and was a member of the Order of the Coif. Following graduation from law school, he clerked for the Honorable Dean D. Pregerson of the U.S. District Court for the Central District of California.


Sean Carmody is a Partner at Centerview Partners. He has spent his 14-year career advising financial services firms on key strategic and financial matters. He has worked with banks and thrifts, specialty finance companies, securities/brokerage firms, financial technology players and asset/wealth managers. Mr. Carmody holds an AB from Harvard University and an MBA from the Kellogg School of Management at Northwestern University.


William D. Haas is Deputy Comptroller for Midsize Bank Supervision at the Office of the Comptroller of the Currency (OCC).

Mr. Haas' Midsize Bank Supervision portfolio includes a group of companies with assets ranging from $10 billion to $60 billion in assets, as well as a number of nationally chartered institutions whose activities are limited to credit card lending.  He assumed the Deputy Comptroller position in April, 2008.

In March 2003, Mr. Haas became the Assistant Deputy Comptroller for Midsize Bank Supervision. In 2013, Mr. Haas was designated as a Senior National Bank Examiner.

Mr. Haas started his career with the OCC in 1984 in Grand Island, Nebraska and was commissioned as a National Bank Examiner in 1988. He served as field examiner based in Minneapolis from 1986 to 1994. In 1994, Mr. Haas transferred to Large Bank Supervision, where he served as the commercial credit lead examiner at Norwest Corporation, and later as a member of the credit team at US Bank.

Mr. Haas graduated in 1984 from Hastings College, Hastings, Nebraska, with a degree in Business Administration and Political Science.


William J. Sweet, Jr. is head of Skadden’s Financial Institutions Regulation and Enforcement Group and concentrates in financial institution merger and acquisition, regulatory, and enforcement matters. Before joining the firm, he was a staff attorney with the Federal Reserve Board, where he handled bank holding company regulatory, litigation and enforcement matters. 

Mr. Sweet represents U.S., Asian, European and Latin American banking, securities and other financial institutions and their boards of directors on the strategic, policy and regulatory aspects of mergers and acquisitions, negotiated investments, joint ventures, restructuring transactions, bankruptcies and receiverships. He also advises private equity firms and others seeking to invest in regulated financial institutions.
In addition, Mr. Sweet regularly advises financial institutions on compliance and enforcement issues with respect to a broad range of governance, risk management, money laundering compliance, Office of Foreign Assets Control sanctions, fair lending, consumer, CRA and other matters, including representation before federal and state regulatory and enforcement agencies. 

He represents financial institutions before the Financial Stability Oversight Council, the Federal Reserve Board, Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation (FDIC), the U.S. Department of the Treasury and other financial regulatory agencies on a wide range of rulings, interpretations and approvals.

Mr. Sweet was recognized as one of the “Most Influential Lawyers” in finance and capital markets by The National Law Journal in 2011. He has been named as a “star individual” in the Financial Services Regulation — Banking Compliance category and ranked in the top tier in the Financial Services Regulation — Financial Institutions M&A area by Chambers USA. Mr. Sweet also has been ranked as a “star individual” for Banking & Finance: Mainly Regulatory in Chambers Global. According to Chambers USA, “he is considered to be one of the world’s leading banking lawyers and has been instrumental in advising a number of the firm’s leading financial services clients in relation to Dodd-Frank, regulatory compliance and transactions.” 

He also has been listed in The Best Lawyers in America, Euromoney’s Guide to the World’s Leading Banking Lawyers, IFLR1000, The Legal 500 U.S. and The International Who’s Who of Banking Lawyers. Mr. Sweet was named Best Lawyers’ 2015 “Washington, D.C. Banking and Finance Lawyer of the Year” and he was included in Washingtonian Magazine’s 2013 “Best Lawyers” list. He writes on banking issues and appears frequently at seminars on financial institution mergers and acquisitions, regulatory issues and enforcement matters.