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Speakers
Please check back regularly for updates to our speaker roster.
Steve Baisel
United States Secret Service
Department of Homeland Security
Steven Baisel has been a Special Agent for the Secret Service for thirteen years and an Assistant to the Special Agent in Charge (ATSAIC) for the last two years. ATSAIC Baisel's first assignment was in Grand Rapids, Michigan. He was subsequently reassigned to Washington, DC and spent two years at Secret Service headquarters assigned to the Financial Crimes Division, followed by a four year assignment to the Vice Presidential Protective Division. ATSAIC Baisel has spent the last three years in New York and is currently in charge of the Financial Institution Fraud and Asset Forfeiture Squad.
A.J. Bosco
Deutsche Bank Securities Inc.
A.J. manages the Regulatory Exams and Investigations Unit in the Deutsche Bank Securities Compliance Department, where he supervises a staff that serves as the primary point of contact between the DBSI and the SEC, NYSE, FINRA and other examining authorities for all regulatory exams and inquiries. A.J. joined Deutsche Bank in 2003 as the manager of the Monitoring, Surveillance and Investigations Unit, which is responsible for conducting trading surveillance, desk reviews and branch office examinations.
Prior to joining the Bank, A.J. was First Vice President and Corporate Counsel in the Legal Department of Prudential Securities Inc. and a Branch Chief in the New York office of the Securities and Exchange Commission. A.J. started his career as an Assistant District Attorney in the Manhattan District Attorney’s Office.
A.J. earned a B.A. degree in history from Columbia University and a J.D. degree from Fordham University School of Law.
Michael V. Campbell
Federal Reserve Bank of New York
Michael V. Campbell is Counsel in the Bank Supervision and Markets Division at the Federal Reserve Bank of New York. His areas of responsibility cover bank and bank holding company regulation, consumer law, privacy law and corporate governance. Mr. Campbell has spoken at numerous conferences on financial regulatory topics including functional regulation under the Gramm-Leach-Bliley Act, merchant banking investments by financial holding companies, the Federal Reserve’s role as umbrella supervisor, legal and supervisory gaps that contributed to the subprime mortgage crisis, duties of directors of banks and bank holding companies, consumer protection rules for the sale of insurance products through banks, rules governing disclosure of consumer information under the Fair Credit Reporting Act and the Gramm-Leach-Bliley Act and federal breach notification rules for financial institutions. Mr. Campbell was responsible for organizing the Privacy Law Group, an independent body sponsored by the Federal Reserve Bank of New York that serves as a forum for discussing privacy-related matters. Mr. Campbell helped design and implement the Lawyers’ Foreclosure Intervention Network ("LFIN"), a pro bono program, co-sponsored by the Federal Reserve Bank of New York and the City Bar Justice Center that provides low and moderate income homeowners with legal assistance to avoid unnecessary foreclosure; he coordinates LFIN’s operations on behalf of the Reserve Bank and is a volunteer in the program. Currently, Mr. Campbell serves as Chair of the New York City Bar’s Committee on Banking Law.
Eva Carman
Ropes & Gray
Eva Ciko Carman is a partner who concentrates her practice on securities litigation and securities enforcement. She represents investment advisors, broker-dealers and individuals in both civil and criminal proceedings. Eva regularly appears before the Securities and Exchange Commission and the United States Attorney's Offices for the Southern and Eastern Districts of New York.
Evan Charkes
Morgan Stanley
Evan Charkes is the Compliance Director for Financial Holding Company for Morgan Stanley, and is responsible for the Firm’s adherence to federal bank regulations and standards, including oversight of the Morgan Stanley depository subsidiary banks. Previously, Mr. Charkes was a Managing Director and Deputy General Counsel for Citigroup’s Global Wealth Management business and was responsible for the regulatory advisory function within the Legal Department. Mr. Charkes also worked as the Deputy Compliance Director and Deputy General Counsel for the Citigroup Commercial Business Group. He previously worked for PaineWebber and in private practice in New York City as a litigator. Mr. Charkes is a co-chair of the SIFMA Self Regulatory and Supervisory Practices Committee, and a member of the FINRA Compliance Advisory Group and the FINRA International Advisory Group. Mr. Charkes has also written extensively on securities and bank regulatory and litigation issues for various publications, including the New York Law Journal and The Wall Street Lawyer. Mr. Charkes received his BA from Columbia College and his J.D. from Georgetown University Law Center.
John J. Davidson, Esq.
E*TRADE Financial
John joined E*TRADE Financial in October 2007 as a Senior Director and in August 2008 was named Global Head of Anti-Money Laundering. He has AML compliance responsibility for E*Trade’s bank and brokerage operations.
Prior to joining E*TRADE, John spent 19 years as an Enforcement Attorney and AML Policy specialist at the OTS, the Board of Governors of the Federal Reserve and most recently, the SEC. As an Enforcement attorney, John assisted financial institution regulators in recovering over $50 million in ill gotten gains from individuals and financial institutions, which had violated federal banking laws, federal securities laws and the Bank Secrecy Act. As an AML Policy specialist, John represented first the OTS and then the Fed on interagency working groups, which drafted many of the regulations associated with the USA PATRIOT Act. At the SEC, John helped pilot the Enforcement division’s SAR review program. John’s efforts resulted in numerous awards and promotions from financial institution regulators. He also frequently serves as a speaker at industry sponsored AML forums and at FFIEC examiner training schools.
John received his BA from the George Washington University and his JD from the College of William and Mary.
Lee G. Dunst
Gibson, Dunn & Crutcher LLP
Lee G. Dunst is a partner in the New York office of Gibson, Dunn & Crutcher. Mr. Dunst is a member of the firm's Litigation Department and White Collar Defense and Investigations Practice Group. His practice covers a wide range of general commercial litigation, as well as government investigations and white-collar criminal matters. His extensive experience includes securities class actions, accountants liability cases, directors and officers liability matters and general business litigation. He also represents numerous clients, including individuals, companies and special board committees, in connection with criminal and regulatory investigations. Recently, Mr. Dunst was recognized in The Legal 500 US 2008 edition, in connection with the firm's White Collar Defense and Investigations practice.
He has represented various corporate and individual clients in connection with white-collar criminal investigations by federal and state prosecutors, as well as related civil investigations by the Securities and Exchange Commission, the New York Attorney General's office and various state regulators. His cases have included the representation of senior business executives and corporate entities in connection with criminal and regulatory investigations of various types of alleged corporate fraud and alleged accounting irregularities, as well as alleged violations of the Foreign Corrupt Practices Act. He also has conducted numerous internal investigations of alleged misconduct at many United States and international companies.
Mr. Dunst has been involved extensively in the successful defense of several securities class action lawsuits filed against major accounting firms and underwriters in federal court in New York, New Jersey, Connecticut and Maryland. He also has defended members of boards of directors in several litigations relating to their performance of their fiduciary duties as board members.
Prior to joining the firm, Mr. Dunst served as an Assistant United States Attorney in the Eastern District of New York from 1995 through 2000, and was involved in a series of significant criminal investigations and prosecutions. He led the investigation and prosecution of an international money laundering organization that operated in the United States and Switzerland, resulting in numerous convictions and the imposition of financial penalties of nearly $10 million, which he successfully defended upon appeal to the United States Court of Appeals for the Second Circuit. In another case, Mr. Dunst received the Director's Award for Superior Performance from the Department of Justice for the successful prosecution of an insurance fraud scheme that resulted in the payment of $20 million in restitution. During his tenure with the U.S. Attorney's Office, Mr. Dunst also served as the Deputy Chief of the Narcotics Section and was widely quoted in the national and international media, including The New York Times, Washington Post, Los Angeles Times and Times of London.
Mr. Dunst currently serves on the United States Court of Appeals for the Second Circuit Pro Bono Panel and has been appointed to represent pro se plaintiffs for purposes of several appeals to the Second Circuit. Mr. Dunst also serves on the Advisory Board of the Mount Sinai Adolescent Health Center, which is the first primary care program in New York City specifically designed for the health needs of adolescents. In addition, he is a member of the Advisory Board of the Yorkville Youth Athletic Association, a community-based organization for children's athletics in New York City.
Mr. Dunst graduated magna cum laude from Brown University in 1986 and cum laude from New York University School of Law in 1992. Following law school, Mr. Dunst clerked for the Honorable Reena Raggi, then of the U.S. District Court for the Eastern District of New York and now on the United States Court of Appeals for the Second Circuit.
Steven Goldberg
Grant Thornton
Steven Goldberg, Principal, leads the Grant Thornton Financial Services Advisory Practice in New York. Steve has led client relationships with a number of global financial services firms – leading sales and delivery teams and coordinating services and resources within the US and in several international locations. He has provided a wide range of advisory services to securities and asset management firms, hedge funds, stock and options exchanges and electronic trading networks. He has assisted with regulatory compliance and controls, business process improvement, program management and IT strategy and integration. His clients range in size from development-stage enterprises to multinational financial institutions.
Steve has over 25 years of business experience including 20 years in financial services as industry executive and management consultant. He has spoken at many noted industry forums including the 2007 and 2008 SIFMA Financial Management Division National Conferences as well as the 2007 and 2008 SIFMA Internal Auditors Division National Conferences (among several other forums). In addition, Steve has published several articles and white papers on relevant business and technology issues affecting the industry. He holds a Bachelor of Arts degree from City University of NY and resides in Southeast, NY.
K. Susan Grafton
Gibson, Dunn & Crutcher LLP
K. Susan Grafton is of counsel in the Washington, D.C. office of Gibson, Dunn & Crutcher where she focuses her practice on advising broker-dealers, credit rating agencies, and investment managers on their business, regulatory, and compliance issues.
Ms. Grafton has advised clients from their start-up to launch, including assisting with the broker-dealer, investment adviser, and nationally recognized statistical rating organization (NRSRO) registration processes, and counseling clients on related structural, supervisory, and financial and operational issues. She also advises clients on a variety of sales, trading, and operational compliance issues, including research and other written communications, soft dollars, Regulations M, ATS, NMS, and SHO, sponsored access and other electronic trading issues, NRSRO rule compliance, books and records requirements, and OATS and trade reporting.
Ms. Grafton works closely with clients to develop and conduct in-house-training, on a variety of topics, including financial services regulatory reform, managing conflicts of interest and material nonpublic information, avoidance of "group" designations, short selling, Regulation M, electronic communications, sales communications, and preparing for regulatory examinations. She also works closely with clients to develop and conduct in-house-training, and to prepare firmwide and business level supervisory and compliance policies and procedures. Ms. Grafton represents broker-dealers and investment advisers on a variety of issues before the SEC and self-regulatory organizations.
Ms. Grafton advises credit rating agencies on legislative and regulatory developments affecting their activities. She also counsels the firm's corporate clients on a variety of issues, including strategic investments in securities exchanges and broker-dealers, corporate buybacks, Regulations M and SHO, and other capital markets transactional issues.
Prior to joining Gibson Dunn, Ms. Grafton was Vice President and Associate General Counsel at Goldman, Sachs & Co. where she worked from 2000 to 2006. While at Goldman Sachs, she focused on sales and trading issues related to the equities markets, with a particular emphasis on electronic trading, market structure, institutional sales activities, and soft dollars. During this time, Ms. Grafton was an active member of various industry working groups formed to address market structure, self-regulation, and soft dollar and commission sharing arrangements.
Prior to Goldman Sachs, Ms. Grafton practiced with Fried, Frank, Harris, Shriver & Jacobson from 1997 to 2000, where she advised broker-dealers, investment managers and issuers on a variety of topics, including regulatory compliance, capital markets issues, and market structure.
From 1987 to 1996, Ms. Grafton served with the SEC in various capacities, including Special Counsel with the Office of Risk Management and Control, Senior Counsel with the Office of Trading Practices and Special Counsel with the Office of Capital Markets and Financial Responsibility. While at the SEC, Ms. Grafton was active in the development and drafting of a number of significant rulemaking projects, including Regulation M and the creation of the process for approving "NRSROs." She also provided interpretative advice on a wide range of issues, including equity and debt tender and exchange offers, issuer buyback programs and dividend reinvestment and stock purchase plans, and broker-dealers’ underwriting, research and trading activities as well as their financial responsibility and reporting obligations; and issuer buyback programs and dividend reinvestment and stock purchase plans.
Ms. Grafton is Chair of the Subcommittee on Trading and Markets of the American Bar Association's Committee on the Federal Regulation of Securities and a member of the Association of Securities and Exchange Commission Alumni and the Securities and Exchange Commission Historical Society. She received her LL.M. in Securities Regulation from Georgetown University Law Center and her J.D. from The Catholic University of America's Columbus School of Law.
Ms. Grafton is a member of the District of Columbia, State of New York and Commonwealth of Pennsylvania Bars.
Homer C. Hill, III
Federal Reserve Bank of New York
Homer C. Hill, III is a Senior Vice President in the Bank Supervision Group at the Federal Reserve Bank of New York. He was recently assigned Senior oversight responsibility for one of the FRBNY's new Bank Holding Companies with significant investment banking activities in November 2008. Previously, he was the Head of the Regional and Community Banks Relationship Management Function and Professional Development Staff from November 2005. Prior to this assignment, Homer served as a Central Point of Contact for a Large Complex Banking Organization (LCBO) in the relationship management function, a position he held for over 5 years. Before taking on this role, he had portfolio management responsibilities, serving as a Team Leader in the financial examinations function with oversight responsibility for several domestic and foreign financial institutions, ranging from LCBOs to community banks.
Mr. Hill joined the Federal Reserve Bank of New York as an assistant bank examiner in July 1988, assigned to the domestic banking department. Over his 21year career in Bank Supervision, Homer has held several relationship management, surveillance analyst and examiner positions within the group. In June 1999, he was appointed a bank supervision officer in the financial examinations function. In May 2000, he was assigned to the relationship management function and was promoted to assistant vice president in December 2001. He was appointed vice president in the same area in January 2004.
Mr. Hill is a graduate of Columbia University and holds a B.A. degree in Economics. He has a 15 year old son that enjoys sports and keeps him busy in his spare time.
Chip Jones
FINRA
Chip Jones is the Senior Vice President of Member Relations for FINRA. In leading the Member Relations Department, Mr. Jones’ responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. Previously, he was State Liaison for NASD, supervising and coordinating major policy projects and initiatives between NASD, NASAA and state securities regulators. Additionally, he oversaw liaison initiatives for NASD Registration and Disclosure related to all external users of the Web CRD and IARD systems and oversaw management for NASD’s Gateway Call Center. Prior to joining NASD, Mr. Jones was Vice President of Regulatory and Industry Affairs at American Express Financial Advisors (AEFA). In this position, he worked on securities compliance, regulatory and legislative initiatives. Previous to AEFA, he spent two years as Advocacy Administrator for the Association for Investment Management and Research (AIMR). Mr. Jones was employed by the Virginia Securities Division as a Senior Examiner/Investigator for over six years prior to joining AIMR. He received an MBA and a B.S. in Business Management from Radford University in Radford, Virginia.
Donald Lopezi
FINRA
Donald Lopezi, Director in FINRA’s Department of Member Regulation, assists in the administration of FINRA’s National Examination Program. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. He began his career as an Examiner in NASD’s Denver District Office in 1992 and, after serving as a Supervisor in the Denver District Office, joined the Washington, DC, office in September 2003. Examination Programs authors and maintains examination policies and procedures used by FINRA’s examination staff, coordinates national special projects and initiatives, and oversees the national examination program—the regulated firm-focused examination and surveillance activities conducted by NASD’s Member Regulation Department. Mr. Lopezi graduated from the University of Colorado at Boulder with a B.S. degree in Accounting, and received his MBA from the University of Colorado at Denver.
Janaya P. Moscony, CFA
SEC Compliance Consultants, Inc.
Ms. Moscony is the President and Founder of SEC Compliance Consultants, Inc. As a former Securities and Exchange Commission regulator, Janaya has extensive experience in the examination, implementation and enforcement of securities regulations. As a consultant, she advises financial institutions how best to effectively manage the regulatory environment with a focus on balancing business needs with regulatory requirements.
Prior to joining Bank of Hawaii, Janaya was employed as a regulatory consultant by BISYS Professional Services, a nationally recognized consulting firm. While at BISYS, she managed numerous engagements with banks, mutual funds, investment advisers and broker-dealers. Prior to BISYS, Janaya worked as a staff accountant for the Philadelphia District Office of the SEC where she worked on routine and cause examinations as well as enforcement cases on behalf of a broad-range of financial entities. Janaya joined the SEC as a Compliance Examiner through the Outstanding Scholar Program. She routinely liaised with other regulatory entities including the NASD, NYSE and state regulators. Janaya received the Chartered Financial Analyst designation in 1999. She graduated with a B.A. in Economics and Spanish from Rutgers University in 1995.
Lisa Roth
Keystone Capital Corporation
Lisa Roth is the Chief Executive Officer, Chief Compliance Officer, and majority owner of Keystone Capital Corporation, a FINRA member firm with its headquarters in San Diego, CA. In her capacity as CEO, Ms. Roth directs the strategic initiatives of the company and manages its mission critical departments, including compliance and operations. Keystone has two distinct business units, servicing on one hand the investment needs of Gen-Y investors and on the other an institutional marketplace including public pensions, endowments, funds and other high net worth investors.
Previously, Ms. Roth was the EVP Managing Director of National Regulatory Services (following the acquisition of ComplianceMAX Financial Corporation, of which she was founder and CEO), a regulatory compliance and technology company, providing compliance expertise and technology solutions to regulated firms in the financial and investment services sectors. Prior to that, Ms. Roth served in various executive capacities with Royal Alliance Associates, First Allied Securities and other brokerage and advisory firms.
Ms. Roth serves as the Past-Chairman of the National Association of Independent Broker Dealers. In this role, Ms. Roth supports the association’s efforts to educate and inform its members, which include approximately 300 small and independent broker-dealers. As such, Ms. Roth is an active participant in industry forums, including FINRA committees and advisory boards, other trade associations, speaking engagements and ad hoc committees as necessary to promote a culture of continuous improvement for NAIBD members and the securities industry in general. Ms. Roth’s constructive approach to advocacy has resulted in positive change for small firms, including special consideration of small firm issues in recent rulemaking.
Ms. Roth currently serves on FINRA’s Small Firm Advisory Board and she has been a member of the FINRA Board of Arbitrators for more than 15 years.
Andrew Shainberg
Chief Compliance Officer, Pruco Securities, LLC
Andrew Shainberg is Vice President, Compliance, for The Prudential Insurance Company of America. He is the Chief Compliance Officer of Prudential’s Individual Life Insurance and Retail Distribution businesses. He serves as the CCO of Pruco Securities, LLC, a registered broker-dealer and investment adviser with approximately 4,500 registered representatives. Andrew is responsible for all aspects of compliance with federal and state securities laws and state insurance laws. Andrew began in his present position in May 2005 and joined Prudential in 1992.
Prior to his current position, Andrew was Vice President and Corporate Counsel for Prudential Retirement. Other positions at Prudential included serving as legal counsel to a number of Prudential’s business units, including individual annuities, investment management, derivatives, securities lending and portfolio management groups. He also worked in Prudential’s External Affairs Department, representing Prudential’s legislative and regulatory interests in New York and other Northeastern states.
Prior to joining Prudential, Andrew was an associate at the New York City law firm of Cadwalader, Wickersham & Taft.
Andrew earned a BSBA in Accounting and a Juris Doctorate from Washington University, St. Louis.
Michael Zeldin
Deloitte Financial Advisory Services LLP
Michael Zeldin is a principal in the Forensic & Dispute Services practice at Deloitte Financial Advisory Services LLP (Deloitte FAS) and is the global leader of the Anti-Money Laundering/Economic and Trade Sanctions (AML/ETS) Service Line.
The AML/ETS service line is recognized internationally for its work in assisting financial institutions and non-financial institutions comply with global AML and sanctions laws, particularly OFAC. Mr. Zeldin has lectured throughout the U.S. and abroad on these topics. He is an often quoted subject matter expert and appears frequently as commentator on network news, cable television and radio. He has testified in federal courts and before the United States House of Representatives.
Mr. Zeldin has represented global financial institutions in matters involving all US banking regulators, including the Federal Reserve Bank, OCC, NASD, SEC, FDIC, OTS, and the New York Stock Exchange. Additionally, he has represented financial institutions and non-financial institutions alike on all continents as they endeavor to comply with evolving global AML and Sanctions regulations.
Prior to joining Deloitte, Mr. Zeldin served in various executive positions in the Criminal Division of the United States Department of Justice, including Deputy Chief, Narcotics and Dangerous Drug Section, Chief, Money Laundering Section, Director of the Asset Forfeiture Office and Special Counsel to the Criminal Division for Money Laundering. In that role, he was responsible to the Assistant Attorney General (Robert Mueller) for the implementation of money laundering policy.
Mr. Zeldin served as the Deputy Independent Counsel and, ultimately, the Independent Counsel, charged with investigating allegations of tampering with President Clinton’s passport during the 1992 presidential campaign. Mr. Zeldin was the Deputy Chief Counsel, U.S. House of Representatives, Foreign Affairs Committee, October Surprise Task Force, responsible for the investigation into the 1980 holding of American hostages in Iran.
Mr. Zeldin has prosecuted numerous violations of federal law, principally multi-defendant financial cases requiring knowledge of complicated banking transactions including money laundering, narcotics wire and mail fraud, and asset forfeiture. He has authored briefs and motions and argued matters in United States District Courts and United States Courts of Appeal involving complex financial matters. Mr. Zeldin is often called upon as an expert witness on behalf of private litigants in federal courts throughout the United States.
Mr. Zeldin has a broad range of international experience having served as the United States Department of Justice delegate to the following international conventions:
- G-7 Financial Action Task Force, Paris, France
- Council of Europe, Select Committee of Experts Regarding Search, Seizure and Confiscation of Crime Proceeds, Strasbourg, France.
- UN Convention Against Illicit Traffic in Narcotics Drugs and Psychotropic Substances, Vienna, Austria.
- Organization of American States, Legislative Drafting Committee, Washington, D.C.
- Caribbean Action Task Force, Oranjestad, Aruba.
Publications/Presentations
- Compliance Now More Than Ever, Business Crimes Bulletin, (March 2009)
- Supreme Court Revisits Money Laundering (Cuellar v. United States), Business Crimes Bulletin, (May 2008)
Professional Affiliations
- American Bar Association
- International Bar Association
Education
- LL.M. Georgetown University Law Center – 1982
- E. Barrett Prettyman Fellow – Criminal Law/Trial Advocacy
- JD George Washington University Law School – 1976
- BA SUNY Binghamton (Harpur College) – 1973