Navigating the Enforcement Landscape

	Bradford Berenson Vice President and Senior Counsel for Litigation and Legal Policy General Electric Company Brad Berenson is Vice President and Senior Counsel for Litigation and Legal Policy at the General Electric Company. In this role, he has responsibility at the corporate level for litigation, government and internal investigations, compliance, and legal policy worldwide. Prior to joining GE, Mr. Berenson was a partner at Sidley Austin LLP in Washington, D.C. Mr. Berenson’s practice at Sidley focused on criminal and civil litigation, investigations and regulatory matters in a broad variety of subject areas, including healthcare, insider trading, the environment, international commercial disputes, fraud, False Claims Act investigations, constitutional law, public corruption, tax, insurance, and FCPA. Mr. Berenson served as Associate Counsel to the President George W. Bush from 2001 to 2003. In that role, he worked on judicial selection, congressional oversight and investigations, and policy initiatives and litigation arising from the attacks of September 11, including the USA Patriot Act, military commissions, detainee and anti-terrorism litigation, presidential action against terrorism financing, and the creation of the Department of Homeland Security. Mr. Berenson graduated summa cum laude with a degree in History from Yale College and magna cum laude from Harvard Law School where he was Supreme Court editor of the Harvard Law Review. After graduating from Law School, he clerked for Judge Laurence H. Silberman of the United States Court of Appeals for the District of Columbia Circuit and for Justice Anthony M. Kennedy of the United States Supreme Court.

	Marc Berger Partner Ropes & Gray Marc Berger, a former federal prosecutor and a partner in the firm's government enforcement practice group, focuses on defending companies and individuals in white collar criminal matters, regulatory investigations and enforcement proceedings, and internal investigations. Marc’s representations include foreign and domestic corporations, investment advisers and asset managers concerning securities, commodities, and insider trading offenses, bribery and violations of the Foreign Corrupt Practices Act (FCPA), computer hacking and data breaches, and responses to internal whistleblower complaints, as well as individual employees in similar investigations. He also counsels on securities and corporate governance issues, regulatory compliance, and a range of other sensitive situations.

	Eva Carman Managing Partner, New York Ropes & Gray Eva Carman is a managing partner of the New York office and co-chief of the securities & futures enforcement group. She is Chambers ranked for Nationwide, Securities: Regulation: Enforcement, where she is recognized by clients as “superb at what she does.” She has 25 years of experience representing investment advisers in connection with Securities & Exchange Commission examinations, investigations and litigated actions. Her focus includes private equity and real estate fund defense, having worked with over twenty PE and real estate firms in connection with the SEC's focus on that industry. Her practice is nationwide. She has had recent cases in five of the SEC's regional offices and the Washington office. Her high-profile successes include the dismissal of claims against one of the central figures in the credit crisis cases - the former head of Countrywide Home Loans. Her recent non-public successes include complete defense of a private equity firm in a fees and expenses case and complete defense of a portfolio manager of a prominent hedge fund in an expert network insider trading case.

	Michael Casey Counsel Ropes & Gray Mike focuses his practice on representing clients in investigations, transactions, and regulatory matters related to economic sanctions, export controls, money laundering, international corruption, customs, and the CFIUS review process. Mike has represented companies in investigations initiated by the Department of Justice, the SEC, the Office of Foreign Assets Control, the Bureau of Industry and Security, the Directorate of Defense Trade Control, and U.S. Customs and Border Protection. He has conducted numerous internal investigations involving potential violations of economic sanctions, export controls, anti-bribery laws, and anti-money laundering laws in the United States, Europe, Asia, South America and Central America. He has also represented individuals in pending and threatened litigation related to potential violations of the International Emergency Economic Powers Act and the Foreign Corrupt Practices Act.

	Christopher Conniff Partner Ropes & Gray Christopher Conniff is an experienced trial lawyer who represents clients in investigations and cases involving the full spectrum of white collar criminal and regulatory matters. Since leaving public service in 2007, Chris has helped both individuals and organizations across the financial services, private equity, health care, and life sciences industries navigate through a number of high-profile government investigations, including in the areas of securities fraud, insider trading, public corruption, health care fraud, and criminal antitrust. He regularly appears on behalf of his clients before the U.S. Department of Justice, U.S. Securities and Exchange Commission, Commodity Futures Trading Commission, and FINRA, as well as various state attorneys general. Chris also conducts internal investigations for clients in the United States and abroad, and is regularly called upon to advise senior management on enforcement matters.

	Colleen Conry Partner Ropes & Gray Colleen Conry focuses her practice on white collar criminal defense and complex civil litigation. Colleen has extensive experience in representing multinational corporations and their executives in government investigations of potential violations of the Foreign Corrupt Practices Act, Food Drug and Cosmetic Act, and the various securities fraud statutes, as well as criminal prosecutions for economic espionage or theft of trade secrets. Colleen also advises clients on internal investigations and compliance matters and has worked with clients around the globe across the health care, life sciences, financial services, manufacturing, and telecommunications industries. She worked with her team to obtain a judgment of acquittal at the close of the government’s case for a former Associate General Counsel at a major pharmaceutical company who was charged with obstruction of justice and making false statements in connection with an FDA inquiry into the company’s marketing practices.

	Katherine Goldstein Co-Chief of Securities Fraud Task Force Southern District of New York Katherine R. Goldstein is an Assistant United States Attorney for the Southern District of New York, where she currently serves as Chief of the Securities and Commodities Fraud Task Force. Prior to her appointment in May 2015, Katie served for a year as the Deputy Chief of the unit, for two years as Co-Chief of the General Crimes unit, and before that was a member of the Securities and Commodities Fraud Task Force, where she successfully prosecuted several large-scale securities fraud schemes. Prior to her securities fraud work, Katie was a member of the Office's Organized Crime Unit. Katie has been a federal prosecutor since 2004. Katie is a 1996 magna cum laude graduate of Duke University, and a 2000 graduate of Harvard Law School, where she served as an editor on the Harvard Law Review. Before she joined the U.S. Attorney's Office, Katie clerked for the Honorable Karen Nelson Moore of the United States Court of Appeals for the Sixth Circuit, and worked as a litigation associate at Wilmer, Cutler & Pickering (now Wilmer Hale) in New York.

	Paul Kaufman VP, Office of Legal Affairs Northwell Health Inc. Paul Kaufman joined Northwell Health as Vice President in the Office of Legal Affairs in September, 2014. Prior to that, Paul served for over ten years as the Chief of Civil Health Care Fraud for the U.S. Attorney’s Office for the Eastern District of New York (EDNY), where he worked closely with federal and state law enforcement personnel to develop, investigate and resolve health care fraud cases on behalf of the United States and its agencies. During Paul’s tenure, the EDNY recovered over $1 billion in settlements of health care fraud cases that were local, regional and national-in-scope, and Paul was the recipient of several awards including HHS-OIG’s Integrity Award, the Director’s Award for Superior Performance as an Assistant U.S. Attorney, and the New York City Bar Association’s Stimson Medal for Outstanding Contribution to the Office of the United States Attorney. Before joining the EDNY, Paul began his legal career as an associate at Proskauer Rose, where he focused on commercial litigation and white collar defensive matters. Paul graduated from Brooklyn Law School cum laude in 1991, where he served as a Notes Editor for the Brooklyn Law Review.

	Joon H. Kim Deputy U.S. Attorney for the Southern District of New York The United States Attorney's Office Joon H. Kim is the Deputy U.S. Attorney for the Southern District of New York. He was promoted to Deputy U.S. Attorney in July 2015, after serving as the Chief of the Criminal Division since July 2014. From April 2013 to July 2014, Mr. Kim was the Chief Counsel to the U.S. Attorney. Mr. Kim first joined the U.S. Attorney’s Office for the Southern District of New York in 2000, where, as an Assistant U.S. Attorney, he investigated and prosecuted a wide range of federal crimes, including racketeering, murder, money laundering, securities fraud, firearms and narcotics offenses, tax evasion, and terrorism. He spent his last four years in the Office in the Organized Crime and Terrorism Unit, prosecuting violent organized crime syndicates, including Asian gangs and the Mafia. During his tenure, Mr. Kim convicted a number of high-ranking organized crime figures, including Peter Gotti, then Boss of the Gambino Family, for conspiring to kill Salvatore “Sammy the Bull” Gravano. From 2006 to 2013, Mr. Kim worked at Cleary Gottlieb Steen & Hamilton LLP, where he was a partner in the litigation and enforcement group, focusing on white-collar criminal defense and regulatory enforcement, as well as commercial civil litigation and international arbitration. Mr. Kim graduated Phi Beta Kappa from Stanford University in 1993 and graduated cum laude from Harvard Law School in 1996. After law school, he clerked for the Honorable Miriam Goldman Cedarbaum of the Southern District of New York.

	Elaine Mandelbaum Managing Director and General Counsel, Litigation and Regulatory Enforcement Citi Institutional Clients Group Elaine Mandelbaum is General Counsel of Litigation and Regulatory Enforcement of Citigroup’s Institutional Clients Group (ICG). Her group is responsible for all litigation, arbitrations, internal investigations and regulatory inquiries and related investigations, sweeps and enforcement proceedings for Citigroup’s institutional businesses, including corporate and investment banking, sales and trading, capital markets origination, securities services, trade and treasury services and private banking. Elaine also is a member of the Global ICG Legal Management Committee. Prior to starting at Citigroup in 1997, Ms. Mandelbaum was a litigation attorney at the New York office of Jones, Day, Reavis & Pogue, and previously at Paul, Weiss, Rifkind, Wharton & Garrison. She is Treasurer of the SIFMA Compliance & Legal Society Executive Committee, and was Chair of SIFMA C&L’s 2015 Annual Seminar, having previously served as co-chair of the Seminar for several years. She was recently elected to a three year term as a member of the FINRA National Adjudicatory Council. Elaine is on the Board of Directors of the Legal Action Center, and is a recipient of the 2015 “Woman Who Dared” Award from the National Council of Jewish Women. Elaine is a frequent speaker on topics relating to complex securities litigation, corporate governance, internal and regulatory investigations and issues relating to women in the securities industry. She is an honors graduate of Yale College and of Harvard Law School.

	Joan McPhee Partner Ropes & Gray Joan McPhee focuses her practice on white collar criminal defense and complex civil litigation. Joan has over two decades of experience representing multi-national and domestic corporations, financial institutions and hospitals, as well as officers, directors and other clients in criminal and civil litigation, enforcement actions, and federal and state grand jury investigations. Joan has helped clients resolve complex enforcement matters, including alleged health care and pharmaceutical fraud, securities and financial fraud, export control and customs investigations, and public corruption matters. She also advises clients on the U.S. Foreign Corrupt Practices Act, the U.K. Bribery Act, and other related anti-corruption laws.

	Michael Osnato Jr. Chief of the Enforcement Division's Complex Financial Instruments Unit Securities and Exchange Commission Michael J. Osnato, Jr. is Chief of the Complex Financial Instruments Unit of the SEC’s Enforcement Division. In his capacity as Unit Chief, Mr. Osnato is responsible for supervising a nationwide unit of Enforcement attorneys, market experts and analysts responsible for investigating a wide range of complex financial products and practices, including matters concerning the structuring, rating, sale, trading and valuation of derivatives, asset-backed securities, and other complex financial instruments. Mr. Osnato joined the SEC in September 2008 as a staff attorney in the Enforcement Division and served as an Assistant Director in the SEC’s New York Regional Office from 2010 through January 2014. Prior to his tenure at the SEC, Mr. Osnato was Counsel at Linklaters LLP with a practice focused on white collar matters and internal investigations. Mr. Osnato began his career as a litigation associate at Shearman & Sterling, LLP and is a graduate of Fordham Law School and Williams College.