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Broker/Dealer Regulation and Enforcement 2012

Released on: Nov. 21, 2012

Running Time Segment Title Faculty Format
[01:38:07] SEC, CFTC, DOJ and SRO Enforcement David Meister ~ Director of Enforcement, U.S. Commodity Futures Trading Commission
Susan L. Merrill ~ Sidley Austin LLP
Carmen J. Lawrence ~ Fried, Frank, Harris, Shriver & Jacobson LLP
J. Bradley Bennett ~ Executive Vice President, Enforcement, FINRA
Michael Osnato ~ Assistant Regional Director, Enforcement Division, U.S. Securities and Exchange Commission
Marc Berger ~ Chief, Securities & Commodities Fraud Unit, United States Attorney's Office, Southern District of New York
On-Demand MP3 MP4
[01:32:45] State Enforcement Joseph P. Borg ~ Director, Alabama Securities Commission
Neal E. Sullivan ~ Sidley Austin LLP
Marc B. Minor ~ Bureau Chief, Investor Protection Bureau, New York State Office of the Attorney General
Abbe R. Tiger ~ Chief - Bureau of Securities, Division of Consumer Affairs, State of New Jersey, Office of the Attorney General
On-Demand MP3 MP4
[01:00:42] Regulatory Update James A. Brigagliano ~ Sidley Austin LLP
Gregory Johnson ~ Managing Director & IB Global CCO, J.P.Morgan Chase
Henry Klehm III ~ Jones Day
Nancy L. Swift ~ Head of Markets Compliance (US), Deutsche Bank Securities Inc.
Gerard S. Citera ~ Davis Polk & Wardwell LLP
On-Demand MP3 MP4
[00:58:50] In-House Lawyer Roundtable Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Financial Services, Inc.
Kay L. Lackey ~ Managing Director/Senior Counsel, RBS Markets and International Banking
Ralph DeSena ~ Director & Senior Counsel, Royal Bank of Canada
On-Demand MP3 MP4
[00:59:52] Compliance Officer Roundtable Alan M. Cohen ~ Global Head of Compliance, Goldman, Sachs & Co.
Christopher J. Mahon ~ Senior Vice President and Head of Broker-Dealer Legal and Regulatory, AllianceBernstein
Charles V. Senatore ~ Head of Corporate Compliance and Ethics, Fidelity Investments
William R. Baker III ~ Latham & Watkins LLP
On-Demand MP3 MP4

Audio CD's from the program Broker/Dealer Regulation and Enforcement 2012, held October, 2012.

Co-Chair(s)
Carmen J. Lawrence ~ Fried, Frank, Harris, Shriver & Jacobson LLP
Neal E. Sullivan ~ Sidley Austin LLP
Speaker(s)
Susan F. Axelrod ~ Executive Vice President, Member Regulation-Sales Practice, FINRA
William R. Baker III ~ Latham & Watkins LLP
J. Bradley Bennett ~ Executive Vice President, Enforcement, FINRA
Marc Berger ~ Chief, Securities & Commodities Fraud Unit, United States Attorney's Office, Southern District of New York
Joseph P. Borg ~ Director, Alabama Securities Commission
James A. Brigagliano ~ Sidley Austin LLP
Gerard S. Citera ~ Davis Polk & Wardwell LLP
Alan M. Cohen ~ Global Head of Compliance, Goldman, Sachs & Co.
Ralph DeSena ~ Director & Senior Counsel, Royal Bank of Canada
Gregory Johnson ~ Managing Director & IB Global CCO, J.P.Morgan Chase
Henry Klehm III ~ Jones Day
Kay L. Lackey ~ Managing Director/Senior Counsel, RBS Markets and International Banking
Christopher J. Mahon ~ Senior Vice President and Head of Broker-Dealer Legal and Regulatory, AllianceBernstein
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Financial Services, Inc.
David Meister ~ Director of Enforcement, U.S. Commodity Futures Trading Commission
Susan L. Merrill ~ Sidley Austin LLP
Marc B. Minor ~ Bureau Chief, Investor Protection Bureau, New York State Office of the Attorney General
Michael Osnato ~ Assistant Regional Director, Enforcement Division, U.S. Securities and Exchange Commission
Charles V. Senatore ~ Head of Corporate Compliance and Ethics, Fidelity Investments
Nancy L. Swift ~ Head of Markets Compliance (US), Deutsche Bank Securities Inc.
Abbe R. Tiger ~ Chief - Bureau of Securities, Division of Consumer Affairs, State of New Jersey, Office of the Attorney General

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Broker/Dealer Regulation and Enforcement 2012 Carmen J. Lawrence, Fried, Frank, Harris, Shriver & Jacobson LLP
Neal E. Sullivan, Sidley Austin LLP
 
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