Keynote Speakers
Damian Williams
United States Attorney, US Attorney’s Office, Southern District of New York (SDNY)
Damian Williams is the United States Attorney for the Southern District of New York. Williams also serves as Chair of the Attorney General’s Advisory Committee. Previously, he served as Chief of the Securities and Commodities Fraud Task Force in the SDNY. As an Assistant US Attorney, Williams primarily investigated and prosecuted cases involving corruption in financial markets and politics. He served as a law clerk to Judge Merrick B. Garland of the Court of Appeals for the DC Circuit and to Justice
Panelists
Jennifer H. Arlen
Norma Z. Paige Professor of Law, NYU School of Law; Founder and Faculty Director, PCCE
Jennifer Arlen is the Founder and Faculty Director, PCCE and is an internationally recognized expert on corporate criminal enforcement policy. Author of more than 50 scholarly publications, she drafted the Principles of the Law of Criminal, Civil, and Administrative Enforcement Against Individuals and Companies for Organizational Misconduct for the American Law Institute’s Principles of Law on Compliance and Enforcement for Corporations. Arlen received her BA in economics from Harvard College (1982, magna cum laude) and her JD (1986, Order of the Coif) and PhD in economics (1992) from New York University. She has been a Visiting Professor at the California Institute of Technology, Harvard Law School, and Yale Law School, and was the Ivadelle and Theodore Johnson Professor of Law and Business at USC Gould School of Law before coming to NYU. She clerked for Judge Phyllis Kravitch on the US Court of Appeals for the 11th Circuit.
Leonard Bailey
Special Counsel for National Security, US DOJ
Leonard Bailey is Head of the Cybersecurity Unit and Special Counsel for National Security in the Criminal Division’s Computer Crime and Intellectual Property Section. He has prosecuted computer crime cases and routinely advised on cybersecurity, searching and seizing electronic evidence, and conducting electronic surveillance. He has managed DOJ cyber policy as Senior Counselor to the Assistant Attorney General for the National Security Division and as an Associate Deputy
Anita Bandy
Partner, Securities Enforcement, Skadden, Arps, Slate, Meagher and Flom LLP
Anita Bandy is a partner in the SEC Enforcement and White Collar practice of Skadden, Arps, Slate, Meagher & Flom LLP. She advises corporations, financial services companies, boards and their board committees, as well as directors, officers and other executives, on matters involving the Securities and Exchange Commission (SEC) and other U.S. and international law enforcement agencies. Prior to joining Skadden, Ms. Bandy served for 17 years at the SEC’s Enforcement Division, where she supervised, investigated and brought actions covering the entire breadth of the SEC’s enforcement authority.
Douglas Bloom
Executive Director, Co-Head Cyber and Privacy Law, Morgan Stanley
Douglas Bloom is an Executive Director and Co-Head of Cybersecurity & Privacy for Morgan Stanley's Legal & Compliance Division. In that role, he is responsible for the Firm's legal response to cybersecurity, privacy fraud, and operational resilience matters—including incident response, governance, regulatory affairs and new legislation affecting the Firm, its personnel and client base. Doug has over 20 years’ experience investigating all aspect of financial and computer crimes—having served as a federal prosecutor, criminal defense lawyer and software developer. Prior to joining Morgan Stanley, Doug was a federal prosecutor in the Southern District of New York, where he handled public corruption and national security cybercrime cases, a Director in PwC’s Financial Crime Unit and Cybercrime & Breach Response practice, and a software engineer at Xerox PARC, where he developed natural language processing algorithms.
George S. Canellos
Partner, Milbank LLP
George S. Canellos is a partner in the law firm of Milbank LLP and heads its litigation department. Until January 2014, Mr. Canellos served as Co-Director of the SEC’s Division of Enforcement. He earlier served as the Enforcement Division’s Deputy Director and as Director of the SEC's New York Regional Office. Earlier in his career, Mr. Canellos served for nine years as an Assistant U.S. Attorney in the Southern District of New York, where he served as Chief of the Major Crimes Unit, Senior Trial Counsel of the Securities and Commodities Fraud Unit, and Deputy Chief Appellate Attorney.
John Coates
Professor of Law and Economics, Harvard Law School
John Coates is a nationally recognized expert in corporate transactions, corporate control and governance, mergers and acquisitions (M&A), financial institutions, and securities. In 2021, Professor Coates served as Acting Director for the Division of Corporation Finance and as General Counsel for the SEC. Prior to joining the Harvard faculty, Professor Coates was a partner at Wachtell, Lipton, Rosen & Katz, where he specialized in financial institutions and in M&A. He has provided consulting services to the Department of Justice, the Department of the Treasury, and multiple financial regulatory advisory groups.
Christina B. Dugger
Global Chief Compliance and Operational Risk Officer, J.P. Morgan Corporate & Investment Bank (CIB); Chief Compliance Officer, JP Morgan Securities LLC.
Christina Dugger is the Global Chief Compliance and Operational Risk Officer for J.P. Morgan’s Corporate & Investment Bank (CIB) and the Chief Compliance Officer for the Firm’s U.S. broker-dealer, JP Morgan Securities LLC. Christina also oversees the Firm’s global Surveillance, Control Room and Disclosure of Interest functions. Prior to joining Compliance, Christina led the Firm’s Government Investigations and Regulatory Enforcement Group (GIRE). Christina spent more than a decade as a federal prosecutor in the U.S. Department of Justice. She was the Chief Assistant U.S. Attorney for the EDNY under Loretta E. Lynch. She was also an Assistant U.S. Attorney for nine years, during which she prosecuted a wide range of criminal cases and held numerous senior supervisory positions in Office’s Criminal Division. Christina served as a law clerk to the Honorable Judith S. Kaye, Chief Judge of the New York State Court of Appeals. She received her J.D. from the Cornell Law School.
Joseph Facciponti
Executive Director, PCCE
Joe Facciponti is PCCE's Executive Director and an adjunct professor at NYU Law and Cornell Law School. Prior to joining PCCE, he spent six years in private practice counseling clients on financial crime, cybersecurity, and data privacy issues. Prior to that, Facciponti was Deputy Head of global internal investigations at HSBC. For nine years, he was a financial crime and cybercrime prosecutor at the SDNY, where he won an FBI Director's award. He holds a JD, magna cum laude, from Cornell Law School and a BA in Philosophy from Yale University.
Ann Fairchild
Executive Vice President and General Counsel, Siemens Corporation
Ann Fairchild is Executive Vice President, General Counsel and Secretary of Siemens Corporation in the United States. Ms. Fairchild oversees the Legal, Compliance and Government Affairs operations of Siemens in the United States. As a member of the Siemens U.S. executive leadership team, she enhances business strategy and policy through pragmatic leadership for Siemens U.S. operations. She is a member of the Siemens Corporation Board of Directors, as well as a director for the Siemens Political Action Committee Board.
Judith Germano
Founder, Germano Law LLC; Distinguished Fellow, NYU Center for Cybersecurity
Judith H. Germano is an internationally recognized thought leader and advisor on cybersecurity governance and privacy issues. A former federal prosecutor for 11 years and founder of GermanoLaw LLC, Judi counsels public and privately-held organizations on cybersecurity and privacy matters, and represents companies and individuals on issues relating to fraud and other financial crimes, and regulatory-compliance. Judi is a Distinguished Fellow and Professor at NYU’s Center for Cybersecurity (CCS), Senior Fellow at NYU’s Center on Law & Security, and Adjunct Professor at NYU School of Law.
Dave Hirsch
Chief, Crypto Asset and Cyber Unit, SEC
Dave Hirsch J.D., is Chief of the Crypto Asset and Cyber Unit in the SEC Division of Enforcement. Prior to that he served as Counsel to SEC Commissioner Caroline Crenshaw, where he was primarily responsible for matters relating to enforcement along with digital assets and cybersecurity. He began his career with the SEC as Counsel in the Division of Enforcement. Dave is a graduate of the UCLA School of Law. Before joining the SEC, he was a litigator, and later co-founded and ran a private investigation firm focused on securities fraud investigations.
Robert J. Jackson Jr.
Pierrepont Family Professor of Law, NYU School of Law
Robert J. Jackson Jr. is the Pierrepont Family Professor of Law, Co-Director of the Institute for Corporate Governance and Finance, and Director of the Program on Corporate Law and Policy at NYU School of Law. From 2017 to 2020, he was a Commissioner at the SEC. Prior to that, Jackson taught at Columbia Law School, where he won the Reese Prize for Excellence in Teaching. Previously, he was a Senior Policy Advisor at the US Treasury Department and was Deputy to Treasury’s Special Master on Executive Compensation. Earlier in his career, Jackson practiced law at Wachtell, Lipton, Rosen & Katz and was an investment banker at Bear Stearns. He holds two undergraduate degrees (in finance and philosophy) from the University of Pennsylvania, an MBA from the Wharton School of Business, a master’s degree in public policy from Harvard’s Kennedy School, and a law degree from Harvard.
Daniel Kahn
Partner, Davis Polk
Dan represents companies and individuals in government enforcement matters, conducting internal investigations and in compliance matters. Dan served for 11 years in senior roles at the Department of Justice. The Wall Street Journal described Dan as DOJ’s “most recognizable expert on the Foreign Corrupt Practices Act.” At DOJ, Dan was acting Deputy Assistant Attorney General of the Criminal Division and Chief of the Fraud Section, and Chief of the FCPA Unit. He supervised matters involving the FCPA, money laundering, and digital currency, commodities, securities, healthcare and procurement fraud. At DOJ, Dan played a central role in developing enforcement policies on the FCPA, corporate enforcement, compliance and monitors. He worked with authorities around the world, and tried a number of cases to verdict. Dan co-authored a treatise on corporate criminal investigations, and teaches Corporate Criminal Investigations at Harvard Law School.
Gretchen Lowe
Acting Director and Chief Counsel, Enforcement, CFTC
Gretchen L. Lowe is the Acting Director and Chief Counsel of the Division of Enforcement at the CFTC. As Chief Counsel, her office is responsible for advising division staff on legal and policy issues arising out of the CFTC’s investigations and litigations. Lowe has been with the CFTC since 1995 and has previously served as Acting Director for Enforcement and was an Associate Director for over 11 years. She has also led the investigations and prosecutions of the LIBOR and FX Currency and benchmark manipulation cases. Prior to the CFTC, Lowe was in private practice at Piper & Marbury (now DLA Piper). She obtained her undergraduate degree from the University of Rochester and her law degree from the University of Pennsylvania School of Law.
M. Kristin Mace
Chief of the Criminal Division, Eastern District of New York (EDNY)
Kristin Mace is the Chief of the Criminal Division in the U.S. Attorney’s Office for the Eastern District of New York, where she supervises the work of more than 115 prosecutors. Before becoming Chief, Kristin worked on many significant cases, including those arising from the FIFA investigation, which broke new ground in combating a culture of corruption at the highest levels of international soccer with criminal charges against over 50 defendants from more than 20 countries, resulting to date in convictions of over 20 individual and corporate defendants. Before joining the Office, Kristin clerked in the Central District of California and the Seventh Circuit Court of Appeals before working for more than five years in the New York, Chicago and Geneva, Switzerland offices of Winston & Strawn LLP. Kristin graduated cum laude from Northwestern University School of law in 2003 after receiving her B.A. from Oberlin College in 1996.
David Markowitz
Global Co-head of Litigation and Regulatory Proceedings
David is global co-head of Litigation and Regulatory Proceedings. He is a member of the Firmwide Conduct Committee and serves as member and counsel to the Financial Crimes Compliance Subcommittee. Previously, David was named co-head of Americas Litigation in 2020 before taking on his current role in 2021. He joined Goldman Sachs as an associate general counsel and managing director in 2011. Prior to joining the firm, David served on the executive staff for attorney general Andrew Cuomo, where he led the Investor Protection Bureau from 2008 to 2010. Before that, he served on the staff of the US Securities and Exchange Commission (SEC) for eight years in the agency's New York office. During his time at the SEC, David held positions of increasing responsibility, last serving as assistant regional director. Prior to joining the SEC, he was a litigator at the law firm of Stroock & Stroock & Lavan LLP in NY.
Randal Milch
Co-Chair, NYU Center for Cybersecurity
Randal (Randy) Milch is the Co-Chair of the NYU Center for Cybersecurity, a Distinguished Fellow at the Reiss Center on Law and Security, and a Professor of Practice at NYU School of Law. He serves as the Faculty Co-Director of the MS in Cybersecurity Risk and Strategy program. Prior to coming to NYU, Milch was the General Counsel and head of public policy at Verizon Communications. At Verizon, he chaired the Verizon Executive Security Council, which oversaw information security across all Verizon entities. He was responsible for national security matters at Verizon beginning in 2006 and has served as the senior cleared executive at Verizon. Earlier in his career, Milch was partner in the Washington, DC, office of Donovan Leisure Newton & Irvine. He holds a JD from NYU School of Law and a BA from Yale University.
Marshall Miller
Principal Associate Deputy Attorney General, US DOJ
Marshall L. Miller is the Principal Associate Deputy Attorney General of the United States. In this role, he is a member of the Department of Justice senior leadership team and is the principal counselor to the Deputy Attorney General. As PADAG, Mr. Miller helps oversee all DOJ components, which include, among others, the 94 U.S. Attorneys’ Offices, the Criminal Division, the National Security Division, and the Department’s law enforcement bureaus. Prior to rejoining the Department of Justice, Mr. Miller was a partner at Kaplan Hecker & Fink. He earned both his J.D. and B.A. from Yale.
Kevin Morley, PhD
Manager of Federal Relations, American Water Works Association
Over the past 20 years, Kevin Morley, PhD, has worked closely with multiple organizations to advance security and preparedness in the water sector. This includes establishing the Water/Wastewater Agency Response Network and guiding the development of several standards that represent minimum best practices for water sector risk and resilience management, including cybersecurity. He is a leading expert on America’s Water Infrastrcuture Advisory Council, as a Disaster Resilience Fellow with the National Institute of Standards and Technology, and on the Water Sector Coordinating Council. Morley received his PhD from George mason University for research on water sector resilience and developing the Utility Resilience Index.
Thomas Smith, Jr.
Associate Regional Director, SEC
Tom Smith is an Associate Regional Director with the SEC’s Enforcement Division and supervises the New York Office’s Enforcement Division. Tom joined the SEC in 2004 and has also serviced as Assistant Regional Director as a member of the SEC’s Market Abuse unit, and as a senior counsel. Tom has investigated numerous actions, including those involving Ponzi schemes and offering frauds, accounting fraud, market manipulations, insider trading, the operation of alternative trading systems and auditor independence. Tom received his J.D. from the Georgetown University Law Center and received a B.S. in Mechanical Engineering from the United States Naval Academy. Between college and law school, Tom serve as a commissioned officer in the United States’ Navy’s submarine force