New feature: Customize your PLUS research experience with My Preferences. Learn more.
Skip to main content

Ethics in Banking and Financial Services 2020


Speaker(s): Anna M. Harrington, C. Evan Stewart, Curtis K. Tao, Frank J. Weigand, James J. Benjamin, Jr.
Recorded on: Aug. 11, 2020
PLI Program #: 279136

Anna M. Harrington serves as Senior Vice President and Associate General Counsel on the regulatory team of The Bank Policy Institute where she leads BPI’s regulatory advocacy efforts on capital and other key prudential regulatory matters. She brings over a decade of public service and private sector experience, including working in both legal and policy roles.

Previously, she was a member of the Financial Institutions Practice Group at WilmerHale where she advised 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.


Curtis K. Tao is a Managing Director and Deputy General Counsel at Citigroup, advising on bank and bank holding company regulatory matters at Citi from 2005 to 2009, and also since he returned to Citi in November 2011. Curtis heads Citi’s Bank Regulatory Legal group, reports directly to Citi’s General Counsel, and serves on the Legal Department’s Management Committee. Curtis is also a member of Citi’s Asian Heritage Affinity Steering Committee, and sponsors the Citi Legal Department Diversity Council.

From 2009 to November 2011, Curtis was an Associate General Counsel at Goldman Sachs, also advising on bank and bank holding company regulatory matters. 

From 2001 to 2005, Curtis was an associate at the law firm of Cleary, Gottlieb, Steen & Hamilton LLP. Curtis clerked for Chief Justice Deborah T. Poritz of the New Jersey Supreme Court for the 2000-2001 term, and for Judge John L. Coffey of the Federal Court of Appeals for the Seventh Circuit for the 1999-2000 term. Curtis received his J.D. from Rutgers School of Law (1999), and his B.A. from Rutgers University (1995). Curtis is admitted to practice in New York and New Jersey.


Frank Weigand is General Counsel of HSBC Securities (USA) Inc., a registered broker-dealer, as well Managing Director, Associate General Counsel and Head of Legal for the Global Markets division of HSBC’s investment bank in the Americas region. 

In his role as Head of Legal for the Global Markets division, Mr. Weigand is responsible for managing a team of attorneys providing legal guidance to numerous investment banking business lines, which include (i) trading and derivatives across a number of assets classes (Equities, Rates, Credit, FX and Precious Metals), (ii) structured products and (iii) Balance Sheet Management (Treasury).  His advice ranges from product-specific guidance to regulatory guidance relating to broker-dealer and bank regulatory law, including requirements of the Dodd Frank Act.  Mr. Weigand is also responsible for a separate team of attorneys and non-attorney negotiators who support HSBC’s negotiation of ISDA agreements and other institutional master documentation.  Mr. Weigand routinely provides advice to HSBC’s senior management in the US as well as HSBC’s Head Office in London and other stakeholders across the HSBC franchise globally.  

In his role as General Counsel of HSBC Securities (USA) Inc., Mr. Weigand provides legal guidance on a broad range of legal and regulatory matters relating to the firm’s US broker-dealer activities. He also serves as an Assistant Secretary of HSBC Securities.

Mr. Weigand and his team regularly represent HSBC in meetings with the Fed, OCC, SEC, FINRA, CFTC and NFA, and represent HSBC on SIFMA, ISDA, ABA and IIB committees and working groups.

Prior to joining HSBC in 2006, Mr. Weigand was an associate at Davis Polk & Wardwell in New York.  Prior to law school, he was an associate in the consulting division of Arthur Andersen LLP in New York where he works with teams assessing the viability of troubled companies and evaluating strategic alternatives by incorporating financial forecasting, modeling and operational analyses.

Mr. Weigand is licensed to practice law in New York.  He received his Juris Doctor cum laude from Fordham University School of Law, where he was a member of the Law Review, Order of the Coif and a Costantino Law Scholar.  He received his Bachelor of Science summa cum laude in Business Administration, with a concentration in Finance and a minor in German from Fordham University. 


C. Evan Stewart's practice focuses principally on the financial services industry, where he handles litigation matters for domestic and international clients before federal and state trial and appellate courts, in arbitration forums, as well as before the Judicial Panel on Multidistrict Litigation and the U.S. Supreme Court. He advises clients on a range of complex commercial matters, including antitrust, bankruptcy, class action defense, ethics, intellectual property, internal investigations, securities litigation, and tax controversies.

Mr. Stewart was featured by the New York Law Journal in the "Top Trials of 2005" for his successful representation of Theodore Sihpol, the first person in U.S. history to be criminally charged for "late trading" mutual funds. More recently, Mr. Stewart successfully represented Gary Prince against the U.S. Securities and Exchange Commission. In May of 2013, after a three week bench trial in federal court, the judge dismissed all six charges of securities fraud against Mr. Prince.

Mr. Stewart previously served twelve years as Executive Vice President and General Counsel for The Nikko Securities Co. International Inc., and as a director of Nikko Financial Services Inc. Additionally, Mr. Stewart served as First Vice President, Associate General Counsel, and Head of Litigation at E.F. Hutton & Company Inc.  Since 2003, Mr. Stewart has been tasked by Goldman, Sachs & Co. to, among other things, oversee and litigate all of the disputes arising out of the company's Private Wealth Management Division.

Recognized as a Super Lawyer for Securities Litigation since 2009, Mr. Stewart has also been hailed as a "Local Litigation Star" by Benchmark Litigation since 2010. In 2016, Mr. Stewart received the Sanford D. Levy Award from the New York State Bar Association's Ethics Committee for having "significantly contributed to an understanding of professional ethics by the publication of an article, commentary or a series of articles or commentaries on the subject." In 2008, he received the Modaq Content Award for writing the most popular article in the United States. Since 1980, Mr. Stewart has been AV(R) Peer Review Rated by Martindale-Hubbell.

Mr. Stewart is a visiting professor at Cornell University and an adjunct law professor at Fordham Law School. He has been a regularly contributing columnist for the New York Law Journal since 1990, the New York Business Journal since 2006, and has published approximately 300 articles on diverse legal subjects.  He is also frequently featured in the national media and regularly speaks across the country on securities professional responsibility and complex litigation issues.


James J. Benjamin Jr., a leader of Akin Gump’s securities enforcement and litigation practice group, represents institutional and individual clients in a wide variety of government and regulatory investigations and litigation. He has served as lead counsel in numerous internal investigations and has conducted numerous jury trials. He has been recognized as a leading lawyer by Chambers USA: America’s Leading Lawyers for Business in the areas of white-collar crime and government investigations.  Before joining Akin Gump, Mr. Benjamin served for more than five years as a federal prosecutor in the U.S. Attorney’s Office for the Southern District of New York, where he served as deputy chief appellate attorney and as a member of the Securities and Commodities Fraud Task Force. Mr. Benjamin previously served as a law clerk at the U.S. Supreme Court for Justices Lewis F. Powell Jr. and John Paul Stevens. He received his A.B. magna cum laude in 1987 from Dartmouth College, where he was a member of Phi Beta Kappa, and he earned his J.D. with honors in 1990 from the University of Virginia School of Law, where he was the research and projects editor of the Virginia Law Review.