Securities Enforcement Forum 2015

November 4, 2015, Mayflower Hotel, Washington, D.C.
Presented by Securities Docket

Securities Enforcement Forum 2015 is a unique, one-day conference in Washington, D.C. that brings together current and former senior SEC and DOJ officials, securities enforcement and white-collar attorneys, in-house counsel and compliance executives, and other top professionals in the field. This year’s conference will take place on Wednesday, November 4, 2015, in the spectacular Grand Ballroom of the Mayflower Hotel in Washington, D.C.

Securities Enforcement Forum 2015 will feature an Afternoon Keynote by the Hon. Mary Schapiro, Vice Chair, Promontory Advisory Board and former SEC Chairman (2009-2012). For the third consecutive year, Securities Enforcement Forum 2015 will also present an historic “Directors’ Panel” that will include current SEC Enforcement Director Andrew Ceresney as well as former SEC Enforcement Directors George Canellos, Robert Khuzami, Linda Chatman Thomsen, Bill McLucas and Judge Stanley Sporkin.

The conference will also feature a stellar faculty – including an extraordinary number of current senior SEC enforcement officials and federal prosecutors, as well as former SEC Directors of Enforcement and over a dozen other luminaries in the securities enforcement field — who will discuss the most important issues now facing attorneys and professionals who work in this area.

Current Faculty and Speaker List for Securities Enforcement Forum 2015:


  • Afternoon Keynote Speaker: Hon. Mary Schapiro, Vice Chair, Promontory Advisory Board and former SEC Chairman (2009-2012)

Directors’ Panel:

  • Andrew J. Ceresney, Director, SEC Division of Enforcement (2013-present)
  • George S. Canellos, Partner,  Milbank, Tweed, Hadley & McCloy LLP (SEC Co-Director of Enforcement, 2013-2014)
  • Robert S. Khuzami, Partner, Kirkland & Ellis LLP (SEC Director of Enforcement, 2009-2013)
  • William R. McLucas, Partner, WilmerHale (SEC Director of Enforcement, 1989-1997)
  • Irving M. Pollack, Partner, Pollack & Storch
  • Hon. Stanley Sporkin (Ret.) (SEC Director of Enforcement, 1974-1981)
  • Linda Chatman Thomsen, Partner, Davis Polk & Wardwell LLP (SEC Director of Enforcement 2005-2009)

SEC Faculty*:

  • Stephanie Avakian, Deputy Director, SEC Division of Enforcement
  • Kara Novaco Brockmeyer, Chief, Foreign Corrupt Practices Act Unit, SEC Division of Enforcement
  • Stephen L. Cohen, Associate Director, SEC Division of Enforcement
  • Scott W. Friestad, Associate Director, SEC Division of Enforcement
  • Julie M. Riewe, Co-Chief, Asset Management Unit, SEC Division of Enforcement

FINRA Faculty:

  • Russell G. Ryan, Senior Vice President and Deputy Chief, FINRA Department of Enforcement


  • Bruce A. Baird, Partner, Covington & Burling LLP
  • William R. Baker III, Partner, Latham & Watkins LLP
  • Christian R. Bartholomew, Partner, Jenner & Block LLP
  • Bradley J. Bondi, Partner, Partner, Cahill Gordon & Reindel LLP
  • Alex Bourelly, Partner, Baker & Botts LLP
  • John J. Carney, Partner, Baker & Hostetler LLP
  • Daniel M. Hawke, Partner, Arnold & Porter LLP
  • Thomas J. Hibarger, Managing Director, Stroz Friedberg
  • Jeffrey S. Holik, Partner, Shulman Rogers Gandal Pordy & Ecker, P.A.
  • Dixie L. Johnson, Partner, King & Spalding LLP
  • Brad S. Karp, Partner, Paul, Weiss
  • Philip S. Khinda, Partner, Steptoe & Johnson LLP
  • James M. Koukios, Partner, Morrison & Foerster LLP
  • Luis R. Mejia, Partner, Perkins Coie LLP
  • Robert E. Rice, Partner, Ropes & Gray LLP
  • Claudius O. Sokenu, Partner, Shearman & Sterling LLP
  • Thomas A. Sporkin, Partner, BuckleySandler LLP.
  • John Reed Stark, President, John Reed Stark Consulting LLC
  • William J. Stellmach, Partner, Willkie Farr & Gallagher LLP
  • Jordan A. Thomas, Partner, Labaton Sucharow LLP
  • Michael D. Trager, Partner, Arnold & Porter LLP
  • Jonathan R. Tuttle, Partner, Debevoise & Plimpton LLP
  • Martin S. Wilczynski, Senior Managing Director, FTI Consulting Forensic and Litigation practice
  • Dr. Simon Wu, Vice President, NERA Economic Consulting

Special Performance:

  • Christopher W. Ullman, Managing Director, The Carlyle Group — and four-time national and international whistling champion – will perform the National Anthem at Securities Enforcement Forum 2015.

*SEC Faculty are confirmed as panelists pending official SEC approval.

Please register here!

CLE Information and Forms

SEF2014 CLE -smCLE credit approved in VA and PA. Forms available here.


Links to materials available here.


When: Wednesday, November 4, 2015
7:00 am - 8:00 am (breakfast & registration)
8:00 am - 5:00 pm (followed by cocktail party)
Where: Mayflower Hotel
1127 Connecticut Avenue NW
Washington, D.C. 20036
CLE Credit: 6.0 hours (pending approval in VA and PA)

Corporate Sponsors

FTI Consulting

Stroz Friedberg


Law Firm Sponsors


Ropes &Gray


Arnold & Porter






Jenner & Block



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