Regulatory Compliance Association Reviews

Speaking Faculty & Guest Lecturers

Dr. Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners, Chairman, RCA

Government Officials & Regulators

Paul Atkins, JD, CEO, Partner, Patomak Global Partners, Commissioner, SEC**
Luis Aguilar, JD, LLM, Commissioner, SEC*
Roel Campos, JD, Partner, Hughes, Hubbard & Reed, Commissioner, SEC**
Troy Paredes, JD, Paredes Strategies, LLC, Commissioner, SEC**
Kathleen Casey, JD, Partner, Patomak Global Partners, Commissioner, SEC**
Hester Peirce, JD, SEC Commissioner*
Andrew Cuomo, JD, Governor, New York*
Thomas, DiNapoli, New York State Comptroller*
Kevin O’Connor, JD, Managing Director, Point 72 Asset Management, Associate Attorney General, U.S. DOJ** (Emeritus)
The. Hon. Barrington Parker, JD, US Circuit Judge, US Court of Appeals Second Circuit
Thomas Sexton, JD, President & CEO, National Futures Association
Daniel Driscoll, CPA, EVP & COO, National Futures Association
Matt Queler, JD., Principal, Deloitte, DOJ**
Andrew Calamari, JD,  Partner, Finn, Dixon, Herling, Regional Director, SEC**
Anthony Kelly, JD, Partner, Dechert, Assistant Director, Division of Enforcement, SEC**
David Metzman,  JD, Senior Policy Advisor, DIvision of Trading & Markets, SEC*
Regina Thoele, Senior Vice President, National Futures Association
Patricia Cushing, CPA, Director of Compliance, National Futures Association
Lois LaLonde, Supervisory Benefits Advisor, Acting Regional Director, US Department of Labor, Employee Benefits Security Administration*
Carlo Di Florio, JD, LLM, Global Chief Services Officer, ACA Compliance Group, Chief Risk Officer, Head of Strategy, FINRA**
Kurt Schacht, JD, Managing Director, Chartered Financial Analyst Institute
Adam Wasserman, JD, Head of Enforcement, NYSE Regulation
Meyer Eisenberg, JD, Senior Research Scholar, Columbia Law School
Adam Aderton, JD, Co-Chief of the Division of Enforcement – Asset Mgmt Unit, SEC*
Harry Wedewer, JD, Office of Chief Counsel – Enforcement Division, CFTC*
Seth Taube, JD, Senior Partner, Baker Botts, Branch Chief of Enforcement NY SEC**
Beth Kaiser, Director – Investment Performance Standards, Chartered Financial Analyst Institute
Thomas Butler, JD, Associate Director for Examinations, SEC*
Lacey Dingman, Director, Office of Human Resources, SEC**
Jennifer Duggins, JD, Head of Private Funds Unit, SEC*
Jane Jarcho, JD, Special Adviser, Promontory, SEC**
Majid Mahood, Examinations Manager, SEC*
Steven Peikin, JD, Co-Director, Division of Enforcement, SEC**
Justin Herring, JD, Chief, CyberCrimes Unit, DOJ*
Rachel Honig, JD, Assistant US Attorney, DOJ*
Tracey Hunt, Associate Director, Compliance, National Futures Association
Vikas Khanna, JD, Deputy Chief, Criminal Division, DOJ*
Ifeyinwa Oguagha, JD, Asst Counsel, New York State Common Retirement Fund
Division of Pension Investment and Cash Management*

Top Institutional Investors, Alternative Investment and Asset Management Firms, and Financial Institutions

Robert Saperstein, JD, Sr. Managing Director, Global Head of Compliance, & Senior Counsel, Guggenheim Partners LLC
Rob Jee, JD, Sr. Managing Director & Senior Counsel, CCO, Guggenheim Partners Investment Management
Heather Traeger, JD, CCO and Compliance Counsel, Teacher’s Retirement System of Texas
Mark Polemeni, JD, CCO & Partner, Chief Compliance Officer, Chief Regulatory Counsel, Perella Weinberg Partners
Simon Lorne, JD, Vice Chairman & CLO, Millennium Partners
Richard Swanson, JD, Chief Legal Counsel, York Capital
Rory Cohen, JD, General Counsel & Secretary, Varadero Capital
John Oliva, Managing Director, Compliance, JP Morgan Chase
Brian Guzman, JD, Partner & GC, Indus Capital Partners
Michael Neus, JD, GC, ExodusPoint Capital Management
Steven Felsenthal, JD, GC, CCO, Millburn Ridgefield
Marc Baum, JD, CAO & GC, Serengeti Asset Management
James Hartmann, Managing Director, CCO, Arena Investors
Brian Traficante, JD, General Counsel, York Capital
Larry Block, JD, Managing Director, Counsel & CCO, Island Capital Group
Cynthia Marian, JD, LLM, Special Counsel to Fried Frank, Alternative Investments Practice
Michael Sheehy, JD, Sr. VP & CCO, CoreCommodity Management
Kip Allardt, Global Relationship Manager, Discovery Capital Management
Jim Plohg, JD, GC & CCO, Ashford Investment Management
Steven Yadegari, JD, GC, Cramer Rosenthal McGlynn, LLC.
Lisa Roitman, JD, General Counsel, Pollen Street Capital (US) LLC
Shannon Horton, Partner, West Coast Operations, Optima Partners
AnnMarie Croswell, HD, Deputy CCO, Millenium Partners, LP.
Janine Diljohn, JD, CCO, HQ Capital
Dov Lando, JD, GC & CCO, Crawford Lake Capital Mgmt LLC.
Andrew Dunbar, JD, Chief Counsel, & CCO, Bel Air Investment Advisors
Scott Sherman, JD, GC, Tiger Management
Moshe Luchins, JD, Chief Compliance Officer and Deputy General Counsel, Zweig-DiMenna
John Roth, JD, LLM, VP & GC, Nassau Financial Group
Bruce Kahne, JD, GC & CCO, EnTrust Capital
Noah Greenhill, JD, GC – Alternative Funds, JP Morgan
Michael Sheehy, JD, CCO, CoreCommodity Management
Timothy Barefield, COO, Pershing Square
Mark Schein, JD, CCO & SVP, York Capital
Nauman Malik, JD, GC & CCO, Eagle Point Credit Company
Matthew Lux, JD, Managing Director, Deputy GC, EnTrust Global
Thomas Kennedy, JD, Managing Director & CCO, Bessemer Trust
Rakhi Kumar, Managing Director & Head of ESG Investments and Asset Stewardship, State Street Global Advisors
Irshad Karim, JD, GC & CCO, Lion Point Capital
Salvatore Scotto, Senior VP, Head of Sanctions, Bank of China
Scott Beechert, JD, General Counsel & CCO, Bennett Management Corporation
James Capezzuto, JD, CCO, Oppenheimer Asset Management, Inc.
Helen Glotzer, Partner, Bridgewater
Chris Michaeiloff, JD, Director, Group Incident & Investigations Management, Deutsche Bank
Beste Portnoff, JD, Principal, Head of Operational Due Diligence, Bessemer Trust
Simon Raykher, JD, GC & CCO, Kepos Capital
Adam Reback, JD, CCO, J Goldman & CO, LP
Wendy Sheu, JD, CCO, Regulatory Counsel, Bracebridge Capital
David Fitzgerald, JD, General Counsel & CCO, Gabelli & Company Investment Advisers
Betsy Thedford, JD, CPA, Highfields Capital Management, LP
Sandra Forman, JD, General Counsel and Chief Compliance Officer, Hudson Companies

Leading International Law Firms

Robert Van Grover, JD, Partner, Seward & Kissel
Bruce Paulsen, JD, Partner, Litigation, Seward & Kissel
Debra Franzese, JD, Partner, Seward & Kissel
David Tang, JD, Partner, Seward & Kissel
Mark Kaplan, JD, Senior Managing Director & Chief Operating Officer, Cantor Fitzgerald
Drew Chapman, JD, Partner, Baker Botts, LLB
Terence Rozier-Bryd, JD, Partner, Baker Botts, LLB
Richard Rosenfeld, JD, Partner Mayer Brown
Christopher Wells, JD, Partner, Proskauer
Beth Kramer, JD, Partner, Winston & Strawn
Michael Renetzky, JD, Partner, LockeLord
Drew Chapman, JD, LLM, Partner, Baker Botts
William Johnson, JD, Partner, King & Spalding
Andrew L. Oringer, JD, Partner, Dechert
Mark Perlow, JD, Partner, Dechert
Ki Hong, JD, Partner, Skadden, Arps, Slate, Meagher & Flom LLP
John Buretta, JD, Partner, Cravath, Swaine & Moore, LLP
Ingrid Pierce, LLB, Managing Partner, Walkers Global
Dorothy Scott, Partner, Walkers Global
Lucy Frew, LLB, Partner, Walkers Global
George Canellos, JD, Partner, Milbank Tweed
David Bergers, JD, Associate, Jones Day
Brendan Kalb, JD, GC & Managing Director, Morgan Lewis
Tram Nguyen,  JD, Partner, Mayer Brown
Jennifer Bergenfeld, JD, Managing Counsel, Aargon Partners, LLP
Laurin Kleiman, JD, Partner, Sidley Austin, LLP
Terence Healy, JD, Partner, Hughes, Hubbard & Reed
Sandra Poe, JD, Partner, Hughes, Hubbard & Reed
Alexandra Poe, JD, Partner, Hughes, Hubbard & Reed
Julie Riewe, JD, Partner, Debevoise & Plimpton, LLP

Top International Assurance Services Firms and Consultancies

Daniel New, CPA, Executive Director, EY
Anthony Artabane, CPA, Managing Member of Anthony Artabane CPA, PLLC, PwC**
Anthony Conte, Principal, Financial Services Advisory, PwC
Catherine Smith, JD, General Counsel, Guidepoint Global
Sarah Curran, Director, Promontory Financial Group
Laura Kate Garner, Director, Optima Partners
Christopher Harrison, CEO, Sterlington Legal Solutions
Amy Poster, Risk and Regulatory Affairs Lead, Horizon Globex
Jason Watchel, Managing Partner, JW Michaels
* Guest Lecturer
** Former