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Understanding the Securities Laws 2018

 
Author(s): Mark D. Wood, Gary M. Brown, N. Adele Hogan
Practice Area: Corporate & Securities
Published: Jul 2018
ISBN: 9781402432057
PLI Item #: 221222
CHB Spine #: B2424

Gary M. Brown is the CEO of CMG Life Services Inc., a leading company in the life settlement industry.  He joined CMG after a 31-year legal career, which included advising public companies on securities and board governance.  Prior to joining CMG, he also taught securities law at the Vanderbilt University Law School and was general counsel to the Ethics and Compliance Officer Association.  While in private practice, he was recognized in both Best Lawyers in America and Chambers – America’s Leading Business Lawyers.  He is a frequent speaker and instructor at PLI events and co-chairs two of the Practising Law Institute’s national securities programs.  He also is the author of PLI’s Securities Law and Practice Deskbook and the chapter “Introduction to Life Settlements” in PLI’s treatise Financial Product Fundamentals.

During 2002, Gary was Special Counsel to the U.S. Senate’s Governmental Affairs Committee in its Enron investigation.  During 2010, he was retained by the U.S. Senate’s Permanent Subcommittee on Investigations to assist in investigating the role of investment banks in the 2008 financial crisis.  In those roles, he provided advice on the Sarbanes-Oxley Act and the Dodd-Frank Act while those pieces of legislation were being debated in the Senate.

Gary received both his B.A. and J.D. degrees from Vanderbilt University, where he also was a member of the Order of the Coif.


Adele Hogan is a capital markets lawyer and strategic advisor who frequently works on regulatory, structured finance, mergers and acquisitions and FinTech matters, including blockchain.  She currently represents a large bank as it expands its foreign exchange and derivatives business, implements enhanced risk frameworks and expands its Fintech business, including blockchain, as well as considers other business initiatives and deposit growth.  She specializes in GRC – governance, risk and compliance – and in strategic growth advisory work.

Adele’s work involves diverse industries, including: financial institutions; energy and utilities; healthcare (medical devices, biotech and pharmaceuticals), leisure (gaming and hotels); real estate, telecommunications, media and technology; transportation (airlines, automotive, shipping, rail); and retail.

Adele frequently chairs and speaks at national law programs.  She has served as an adjunct law professor at Fordham University School of Law and speaks at Cornell University Law School and the Levin Institute.

Adele worked for over ten years at Cravath Swaine & Moore LLP, and was a partner at White & Case LLP and Linklaters LLP. Adele most served as Director – Group Audit (Legal and Regulatory) at Deutsche Bank.  Adele has done strategic consulting work (revenue enhancements, deposit growth, FX, derivatives, mergers) for large banks and led anti-financial crimes investigations, risk framework implementations and corporate governance matters.

Involvement

  • New York City Bar Association (Securities Regulation Committee (former Chair), Financial Reporting Committee (former Chair), Banking Law Committee, Mergers & Acquisitions Committee)
  • New York State Bar Association, Business Law Section (Executive Committee), Securities Regulation Committee, Investment Management Committee
  • American Bar Association, Federal Securities Law Committee
  • Association of Corporate Counsel
  • Women in Derivatives (WIND), 100 Women in Finance, Women in Funds
  • National Association of Corporate Directors (NACD)
  • Society of Corporate Governance Professionals
  • SIFMA (Legal Society and Internal Audit Society)
  • Risk Management Association

Education

  • Cornell University Law School, Juris Doctor
  • Cornell University, Bachelor of Arts 


Mark D. Wood is head of Katten's Securities practice and concentrates in corporate and securities law. Mark represents public companies, issuers and investment banks in initial public offerings (IPOs) and other public offerings of equity and debt securities and other securities matters.

Mark also represents clients in complex corporate transactions, including tender offers, mergers, acquisitions, dispositions, going-private transactions, private equity investments, joint ventures, strategic alliances and private placements. He is a leading practitioner in representing investors, public companies and placement agents in private investment in public equity (PIPE) transactions. In addition, he also counsels public companies on securities law compliance, disclosures, corporate governance and compensation-related issues. Many of Mark’s clients include middle market and upper middle market companies and investors in the health care, technology, energy, mining, manufacturing and financial services industries.

Mark is a frequent speaker and writer on securities and corporate law topics. He is a registered Certified Public Accountant.