SIFMA C&L Annual Seminar 2020 | SIFMA | 15 March 2020 | JW Marriott, 4040 Central Florida Pkwy, Orlando, FL 32837, USA

SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. This seminar provides a unique opportunity for industry leaders and regulators to gather for three days of information sharing, networking and collaboration.

2020 Speakers

Scott C. Kursman
Managing Director and Chief Compliance Officer

Citigroup Global Markets
Inc. & Citibank, N.A. Swap Dealer, Seminar Chairperson

Elaine Mandelbaum
General Counsel, Interactive Brokers, SIFMA C&L Society President, SIFMA

Commissioner Elad L. Roisman
Commissioner, U.S. Securities and Exchange Commission

Joseph E. Sweeney
President, Advice & Wealth Management, Products and Service Delivery, Ameriprise Financial Inc.

Chairman Heath P. Tarbert
Chairman and Chief Executive, U.S. Commodity Futures Trading Commission

Joseph L. Seidel
Chief Operating Officer, SIFMA

Dan Gallagher
Partner and Deputy Chair, Securities Department, WilmerHale, Former Commissioner, U.S. Securities and Exchange Commission

Robert L.D. Colby
Chief Legal Officer, FINRA

Dorothy DeWitt
Director of the Division of Market Oversight (DMO), U.S. Commodity Futures Trading Commission (CFTC)

Maryann Kennedy
Senior Deputy Comptroller, Office of the Comptroller of the Currency (OCC)

Brett Redfearn
Director, Division of Trading and Markets, U.S. Securities and Exchange Commission (SEC)

Patricia Cowart
Senior Company Counsel, Wells Fargo Advisors

Richard W. Berry
Executive Vice President and Director of Dispute Resolution, FINRA

Linda Drucker
Managing Senior Counsel, Bank of the West

Cheryl L. Haas
Partner, McGuireWoods LLP

Bentley Stansbury
Shareholder and Executive Committee Member, Keesal, Young & Logan

Ryan Lester
Managing Director and Americas Head, Regulatory Practice Group,Goldman Sachs & Co.

Peter Driscoll
Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission (SEC)

Darya Geetter
Managing Director, Head of US Regulatory Compliance, UBS

Ryder Hill
SVP, Head of Compliance Exams, Surveillance & Controls, LPL Financial LLC

Joan McKown
Partner, Jones Day

Thomas Nelli
Senior Vice President and Regional Director, FINRA

Darian Futrell
Managing Director, Goldman Sachs

Gary N. Distell
Chief Compliance Officer, Senior Managing Director and Senior Regulatory Counsel, Guggenheim Securities LLC

Jodi Huckabee
Managing Director, Global Head Banking Compliance, Conflicts Management and Control Room, Barclays

Andrew J. Pitts
Partner, Cravath, Swaine & Moore LLP

C.B. Richardson
Managing Director, Global CCO of Banking, Capital Markets & Advisory, Research and Control Group, Citigroup Global Markets Inc.

Stephen Bard
Senior Vice President, WIM Director of Social Media & Communications Compliance, Wells Fargo Clearing Services LLC

Christopher Fernandes
Director of Legal, Hearsay Systems

Paul A. Merolla
Partner, Murphy & McGonigle, P.C.

Amy C. Sochard
Senior Director, Advertising Regulation Department, FINRA

Casey Whalley
Principal - Field Supervision, Edward Jones

Gleennia Napper
Vice President, Corporate Finance Compliance, Deutsche Bank

Debo P. Adegbile
Partner, WilmerHale

Peggy Ho
EVP, Chief of Staff, LPL Financial LLC

Autumn Hunter
Associate General Counsel & Director, Bank of America Corporation

Macey Russell
Partner, Choate Hall & Stewart LLP

Knut Nodeland
SVP and Information Security Executive, Bank of America Corporation

Robert Cohen
Partner, Davis Polk & Wardwell LLP

Una Dean
Partner, Fried Frank

Joseph DeMarco
Partner, DeVore & DeMarco LLP

Pablo Martinez
Head of Cyber Operations, Fidelity Investments

Mei Lin Kwan-Gett
Deputy General Counsel & Head of Global Litigation, Citigroup Global Markets Inc.

Stephanie Avakian
C-Director, Division of Enforcement, U.S. Securities and Exchange Commission

Martine Beamon
Partner, Davis Polk & Wardwell LLP

Andrew J. Ceresney
Partner, Debevoise & Plimpton LLP

Joon H. Kim
Partner, Cleary Gottlieb Steen & Hamilton LLP

Loretta E. Lynch
Partner, Paul Weiss Rifkind, Wharton & Garrison LLP

Brigitte Duffy
Senior Vice President, Associate Counsel, LPL Financial LLC

Alphonzo Grant
Managing Director, Legal and Compliance, Morgan Stanley

AnnMarie Davis
Senior Vice President, Associate General Counsel, Raymond James Financial Services Inc.

Colleen P. Mahoney
Partner, Securities Enforcement, Government Enforcement and White Collar Crime, Skadden, Arps, Slate, Meagher & Flom LLP

Lorin L. Reisner
Partner, Paul, Weiss, Rifkind, Wharton & Garrison LLP

Tracey Salmon-Smith
Partner, Drinker Biddle & Reath LLP

Kyle Brandon
Managing Director, Head of Derivatives Policy, SIFMA

Matthew Danton
Director, Barclays

Annette Nazareth
Partner, Davis Polk & Wardwell LLP

Felicia Rector
Managing Director, Securities Division, Goldman Sachs & Co.

Mark E. Wolfe
Associate Director of the Office of Derivatives Policy and Trading Practices, US Securities and Exchange Commission (SEC)

Joe Salama
Managing Director & Global Head of Litigation and Regulatory Enforcement, Deutsche Bank AG

Kathy Adams
Mediator/Owner, Kathy Adams Dispute Resolution Services

Elaine McChesney
Partner, Morgan Lewis

Scott Musoff
Partner, Skadden, Arps, Slate, Meagher & Flom LLP

Allison Patton
Managing Director, Head of Wealth Management Client Litigation, Morgan Stanley

Annie Zaffuto
Associate General Counsel, Edward Jones

James Mangan
Managing Director, Head of US Litigation, Morgan Stanley

Boris Bershteyn
Partner, Skadden Arps

Susanna M. Buergel
Partner, Paul, Weiss, Rifkind, Wharton & Garrison LLP

Jill Centella
Managing Director, Global Head of Litigation, J.P. Morgan Chase & Co.

Victor L. Hou
Partner, Cleary Gottlieb Steen & Hamilton LLP

Amanda Vaughn
Deputy General Counsel, Bank of America Corporation

Susan Boudrot
Managing Director and Global CCO, TD Ameritrade Holding Corporation

James Cornwell
Director - Compliance Risk Assessment, Societe Generale Corporate & Investment Banking

Lori Ryan-Thurton
Americas Head of Compliance Testing
Deutsche Bank

Matthew Schurter
Vice President
Global Compliance Testing

Charles Schwab
Joshua Stahl
Compliance Officer, Wells Fargo

John H. Walsh
Partner, Eversheds Sutherland LLP

Sunita Koshy
Managing Director and the Chief Compliance Officer, Global Conduct Risk Management, Citigroup Inc.

Melissa Aoyagi
Managing Director, Global Head of Conduct Risk, Morgan Stanley

James Bergin
Deputy General Counsel and Senior Vice President, Federal Reserve Bank of New York

Michele Coffey
Partner, Morgan, Lewis & Bockius LLP

James McHale
Executive Vice President & Head of Compliance, Wells Fargo Advisors

Katrina A. Carroll
Executive Vice President and Chief Anti-Money Laundering Officer, LPL Financial LLC

Elizabeth “Paige” Baumann
Senior Vice President, Chief Anti-Money Laundering Officer, Fidelity Investments

Jason Foye
Director - AML Investigative Unit, FINRA

Sarah Green
Global Head of Financial Crimes, Vanguard

Satish M. Kini
Partner, Debevoise & Plimpton LLP

Edward J. Mannix
Senior Vice Presidentand Anti-Money Laundering Compliance Officer, Jefferies LLC

Joshua E. Levine
Managing Director and Head of ICG Regulatory Enforcement, Citigroup Global Markets Inc.

Patricia Canavan
Americas Head of Group Investigations, UBS AG

Colleen Conry
Partner, Ropes & Gray LLP

Lawrence Gerschwer
Partner, Fried Frank

Nancy Kestenbaum
Partner, Covington & Burling LLP

Alexander B. White
Assistant General Counsel, Vice President, Bank of America Corporation

Gary Rosen
Managing Director, Citigroup Global Markets Inc.

Paul Carlesimo
Managing Director, RBC Capital Markets LLC

Theodore R. Lazo
General Counsel and Head of Market Structure, BIDS Trading L.P.

Stephen Luparello
General Counsel, Citadel Securities LLC

Maura Miller
Managing Director, Securities Compliance, Credit Suisse Securities (USA) LLC

Laura Pruitt
Partner, Jones Day

Karen Patton Seymour
Executive Vice President, General Counsel and Secretary of the Corporation, Goldman Sachs

Stephen M. Cutler
Partner and Head of the Investigations Practice, Simpson Thacher & Bartlett LLP

Eric F. Grossman
Managing Director and Chief Legal Officer, Morgan Stanley

Christopher Lewis
General Counsel, Edward D. Jones & Co. L.P.

Adam Meshel
Managing Director & Global General Counsel, Citigroup Global Markets Inc.

Karen Wilson Thissen
Executive Vice President and General Counsel, Ameriprise Financial Services Inc.

Michelle Kelley
Senior Vice President & Associate General Counsel, LPL Financial LLC

Kevin Carroll
Managing Director and Associate General Counsel, SIFMA

Lourdes Gonzalez
Assistant Chief Counsel – Sales Practices, Division of Trading and Markets, U.S. Securities and Exchange Commission

Yoon-Young Lee
Partner, WilmerHale

Dean Pinto
Managing Director, Morgan Stanley Wealth Management

Theresa Seys
Vice President and Chief Counsel, Ameriprise Financial Services Inc.

Melissa MacGregor
Managing Director and Associate General Counsel, SIFMA

Behnaz Kibria
Senior Policy Counsel, Google

Cassandra Lentchner
Senior Counsel, Pillsbury Winthrop Shaw Pittman LLP

Jodi Pinedo
Director & Senior Managing Counsel, Pershing LLC, BNY Mellon Company

Eric Strasser
Vice President, Information Security Risk Management, Northern Trust

Curtis Tao
Managing Director & Deputy General Counsel, Citigroup Global Markets Inc.

Jahad Atieh
Vice President & Assistant General Counsel, J.P. Morgan Chase & Co.

Jai R. Massari
Partner, Davis Polk & Wardwell LLP

David Rusoff
Partner, Goldman Sachs

Robert Toomey
Managing Director and Associate General Counsel, Rates, SIFMA

Jeffry Freiburger
Managing Director and Chief Compliance Officer, Robert W. Baird & Co.

Jacqueline Beauprez
Senior Vice President & General Counsel, D.A. Davidson & Co.

Molly Deere
Assistant General Counsel, Stephens Inc.

Donald R. Littlefield
Partner, Ballard & Littlefield LLP

Bill Wisdom
Director of Regulatory & Oversight Services, Chief Compliance Officer, Benjamin F. Edwards

Anne Robinson
Managing Director, General Counsel and Corporate Secretary, Vanguard

Elaine Mandelbaum
General Counsel, Interactive Brokers, SIFMA C&L Society President, SIFMA

2020 Sponsors

• Skadden
• Arps
• Slate
• Meagher & Flom LLP
• Fried
• Frank
• Harris
• Shriver & Jacobson LLP
• Kirkland & Ellis LLP
• and Paul
• Weiss Rifkind Wharton & Garrison LLP
• Orrick
• Herrington & Sutcliffe LLP
• KPMG LLP
• Cleary
• Gottlieb
• Steen & Hamilton LLP
• Jones Day
• Norton Rose Fulbright
• Clifford Chance US LLP
• StarCompliance
• Protiviti
• Proofpoint
• QuisLex
• Sia Partners
• Allen & Overy
• Davis Polk & Wardwell LLP
• Morgan
• Lewis & Bockius LLP
• Sullivan & Cromwell LLP