Regulatory Compliance Association Reviews

Faculty of Senior Fellows & Guest Lecturers

REGULATORS

Roel Campos, JD, Commissioner, SEC**
Paul Atkins, JD, Commissioner SEC**
Luis Aguilar, JD, LLM, Commissioner, SEC**
Barton Chilton, Commissioner, CFTC**
Troy Paredes, JD, Commissioner, SEC**
Thomas Sexton, JD, CEO & President, NFA
John Buretta, JD, Principal Deputy Assistant Attorney General, U.S. DOJ**
Judge Barrington Parker, US Court of Appeals Second Circuit
Andrew Donohue, JD, Chief of Staff, SEC**
Daniel Driscoll, CPA, COO, NFA
Aitan Goelman, JD, Director, Division of Enforcement, CFTC**
Stephen Luparello, JD, Director of Trading and Markets Division, SEC**
Carmen Ortiz, JD, US Attorney, District of Mass., US DOJ
Tim O’Brien, Supervisory Special Agent, FBI
Andrew Bowden, JD, Director, OCIE, SEC**
George Canellos, JD, Partner, Director of Enforcement, SEC**
Norman Champ, JD, Director, Investment Management Unit, SEC**
Andrew Calamari, JD, Regional Director, SEC*
Michael Osnato, JD, Chief of Complex Financial Instrmts, Enforcement, SEC**
Patricia Cushing, CPA, Director, Compliance, NFA
Carlo di Florio, JD, CRO, Head of Strategy, FINRA
Ken Joseph, JD, Associate Director, IA/IC Exam Program, SEC*
Jonathan Kay, JD, Regional Director – NY, DOL
Matt Queler, JD, Assistant Chief – FCPA Unit, US DOJ
Regina Thoele, SVP of Compliance, NFA
Elcin Yildirim, PhD. Asst Director – Head of Quantitative Analytics Unit, SEC*
Jennifer Duggins, Co-Head Private Funds Unit, OCIE, SEC*
Christopher Hetner, Cybersecurity Lead, OCIE, SEC*
Stephen McCaffrey, JD, Chairman, Plan Sponsor Counsel of America
James Jones, Director, BOD, CFA Institute
David Blass, JD, GC, Investment Company Institute**
Kurt Schacht, JD, Managing Director, CFA Institute

 

LEADING LAW AND CPA FIRMS

Robert VanGrover, JD, Partner, Seward & Kissel
Christopher Wells, JD, Partner, Proskauer
Matthew Eisenberg, JD, Partner, Finn Dixon & Herling
George Mazin, JD, Partner, Dechert
Terence Healy, JD, Partner, Hughes Hubbard & Reed
Beth Kramer, JD, Partner, Chadbourne & Parke LLP
Michael, Sherman, JD, Partner, Dechert
Ingrid Pierce, LLB, Partner, Walkers Global
Catherine Smith, JD, GC, Guidepoint Global
Mark Perlow, JD, Partner, Dechert
Andrew Oringer, JD, Partner, Dechert
Bruce Paulsen, JD, Partner, Seward & Kissel
Nathan, Greene, JD, Partner, Shearman & Sterling
Ki Hong, JD, Partner, Skadden Arps
Justin Shigemi, JD, Partner, Finn Dixon & Herling
Reed Balmer, JD, Partner, Finn Dixon & Herling
Michael Cyran, CPA, Partner, EY
Natalie Deak-Jaros, CPA, Partner, EY
Alan Fish, CPA, Principal, EY
Ralph Mittl, Principal, EY
Daniel New, CPA, Executive Director, EY
Robin Painter, JD, Partner, Proskauer
Patricia Poglinco, JD, Partner, Seward & Kissel
Anthony Conte, Principal, PwC
Kevin Bandoian, CPA, Partner, PwC
Dan Bender, Executive Director, EY
Samer Ojjeh, Principal, EY
John Brose, LLM, Partner, Seward & Kissel
Drew Chapman, LLM, Partner, King & Spalding
Michael Considine, JD, Partner, Seward & Kissel
Elliott Curzon, JD, Partner, Dechert
Michael Gilbert, JD, Partner, Dechert
Richard Horowitz, JD, Partner, Dechert
Joe Morrissey, JD, Partner, Seward & Kissel
Timothy Mungovan, JD, Partner, Proskauer
Joseph Davidsohn, CEO, Davidsohn Global Technologies
Carmen Lawrence, Partner, King & Spalding
Bill Johnson, JD, Partner, King & Spalding LLP
Mark Whatley, JD, Partner, Sidley Austin
Thomas Biolsi, Principal, PwC – Emeritus

* Guest Lecturer
** Former

TOP INSTITUTIONAL INVESTORS, ALTERNATIVE INVESTMENT AND ASSET MANAGEMENT FIRMS

Bradley Ackerman, Global Investment Manager Analysis, Morgan & Stanley
Alyssa Albertelli, JD, CCO, SVP, State Street Global Advisors
Kip Allardt, Global Relationship Manager, Discovery Capital Management
Doug Anderson, JD, CCO, Canyon Partners
Marc Baum, JD, CAO & GC, Serengeti Asset Management
Scott Beechert, JD, GC & CCO, Bennett Management Corporation
David Bergers, JD, GC, LPL Financial
Scott Black , JD, GC & CCO, Hudson Bay Capital
Lawrence Block, JD, Managing Director, Counsel & CCO, Island Capital Group
James Capezzuto, JD, CCO, Managing Director, Oppenheimer Asset Mgmt.
Rory Cohen, JD, GC & Secretary, Varadero Capital
Brian Coogan, Director, Asset Management Compliance, Fidelity Investment
Halit Coussin, JD, LLM, CLO / CCO, Pershing Square
AnnMarie Croswell, JD, Deputy CCO, Millennium Partners, LP
Steven Felsenthal, JD, LLM GC, CCO, & Principal, Millburn Ridgefield
David Fitzgerald, JD, GC & CCO, Gabelli Securities
Helene Glotzer, CCO, Bridgewater Associates LP
Danielle Green, JD, VP & CCO, HarbourVest Partners
Brian Guzman , JD, Partner & GC, Indus Capital Partners
James Hartmann, JD, CCO, Arena Investors LP
Blair Hedges, CCO, FDO Partners LLC
Shannon Horton, CCO, KKR Asset Managment, LLC
Julie Jack, JD, VP, Assistant GC & CCO, Chilton Investment Company
Bruce Kahne, JD, Partner & GC/CCO, EnTrust Capital Inc.
Brendan Kalb, JD, Managing Director & GC, AQR Capital Management
Irshad Karim, JD, Counsel & CCO, Lion Point Capital
Bruce Karpati, JD, Managing Director & Global CCO, KKR & Co.
Tanya Kerrigan, JD, GC/CCO, Boston Advisors, LLC
Orly Lax, JD, GC & CCO, Crown Sterling LLC
Gerald Lins, JD, GC, Voya Investment Management
Simon Lorne, JD, Vice Chairman & CLO, Millennium Partners
Michael Loughney, JD, Global Head of Equities Compliance, Millennium
Moshe Luchins, JD, Deputy GC & CO, Zweig-DiMenna Associates LLC
Matthew Lux, EntrustPermal
Nauman Malik, JD, GC & CCO, Eagle Point
Daniel Margolis, JD, GC, Ellington Mgmt
Cynthia Marian, JD, LLM, GC & CCO, Civic Capital Advisors LLC**
Patrick McKeon, Blackstone
Nir Messafi, CPA, CFO, CCO, Broadfin Capital
Helane Morrison, JD, Managing Director, GC & CCO, Hall Capital Partners LLC
Jordan Nault, Investment Consultant, Mercer
Michael Neus, JD, Managing Partner & GC, Perry Capital**
Kevin O’Connor, JD, Managing Director & GC, Point 72 Asset Management
John Oliva, CCO & Managing Director, Highbridge Capital Management
Charles Park, JD, CCO & Managing Director, BlackRock
Jim Plohg, JD, CCO, AIM, Ashford Investment Management
Mark Polemeni, JD, CCO & Associate GC, Citadel, LLC
Scott Pomfret, JD, Regulatory Counsel & CCO, Highfields Capital
Beste Portnoff , Principal/ Head of Operational Due Diligence, Bessemer Trust
Kevin Rooney, JD, Senior CO & Associate GC, Cerberus Capital Management
Joshua Rozenberg, CPA, Assistant Controller, 40 North Management LLC
Kirk Rule, JD, CCO, J.P. Morgan Alternative Asset Management, Inc.
Willliam Ryan, JD, LL.M, CFO & Managing Director, Evercore
Mark Schein, JD, CCO & SVP, York Capital
Adam Schreck, JD, GC, Discovery Capital Management
Jeffrey Schultz, JD, CLO & CCO, Phoenix Investment Adviser LLC
Martin Schwartz, JD, CPA, CCO, Millennium Management LLC
Michael Schwenk, JD, GC & CCO, NWI Management LP
Marc Seidenberg, JD, LLM, GC & CCO, Basso Capital Management
Jasmin Sethi, JD, VP, BlackRock
Michael Sheehy, JD, SVP & CCO, CoreCommodity Management
Scott Sherman, JD, GC, Tiger Management
Wendy Sheu, JD, CCO & Regulatory Counsel, Braceberidge Capital
Matthew Siano, JD, Managing Director & GC, Two Sigma Investments
Jamie Sklar, JD, Partner – In House Counsel, Bailey Duquette/Credit Suisse AM
Richard Swanson, JD, GC, York Capital Management
John Thomas, CPA, Managing Director & Senior CO, BNY Mellon Asset Mgmt
Nicole Tortarolo, JD, Ex. Dir, Head of Investment Structuring, UBS Alternative & Quantitative Investments
Heather Traeger, JD, CCO & Compliance Counsel, Teacher Retirement System of Texas
Brian Traficante, JD, SVP & Investment Counsel, York Capital
Nicholas Tsoudis, CCO, Invesco Private Capital
Joseph Tylicki, CPA, Chief Financial Officer, Stark Investments
David Warsoff, Executive Director, J.P. Morgan Alternative Asset Management
D. Forest Wolfe, JD, GC, Angelo, Gordon & Co
Steven Yadegari, JD Executive VP & GC, Cramer Rosenthal McGlynn
Eric Zielinski, CPA, Deputy CAO –Equities, UBS Global Asset Management