Securities Enforcement Forum 2014

October 14, 2014, Four Seasons Hotel, Washington, D.C.

Securities Enforcement Forum 2014 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 Tuesday, October 14, 2014, at the five-star, five-diamond Four Seasons Hotel in Washington, D.C. 

Securities Enforcement Forum 2014 will feature a Morning Keynote by SEC Commissioner Michael S. Piwowar and an Afternoon Keynote by U.S. Attorney Preet Bharara of the Southern District of New York. For the second consecutive year, Securities Enforcement Forum 2014 will also present an historic “Directors’ Panel” that will include 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 again 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 2014:

Morning Keynote Speaker: Michael S. Piwowar, Commissioner, U.S. Securities and Exchange Commission

Afternoon Keynote Speaker: Preet Bharara, U.S. Attorney for the Southern District of New York

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)
  • Hon. Stanley J. Sporkin (Ret.), Leader, BP America Ombudsman Program (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
  • Joseph K. Brenner, Chief Counsel, 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
  • Daniel M. Hawke, Chief, Market Abuse Unit, SEC Division of Enforcement

DOJ Faculty:

  • Deborah L. Connor, Chief, Fraud and Public Corruption Section, U.S. Attorney’s Office for D.C.

FINRA Faculty:

  • J. Bradley Bennett, Executive Vice President of Enforcement, FINRA


  • William R. Baker III, Latham & Watkins LLP
  • Jonathan R. Barr, Partner, Baker & Hostetler LLP
  • Christian R. Bartholomew, Partner, Jenner & Block LLP
  • David B. Bayless, Covington & Burling LLP
  • Marc P. Berger, Partner, Ropes & Gray LLP
  • Bradley J. Bondi, Partner, Cadwalader, Wickersham & Taft LLP
  • Alex Bourelly, Partner, Baker & Botts LLP
  • Dr. Patrick Conroy, Senior Vice President, NERA Economic Consulting
  • Stephen J. Crimmins, Partner, K&L Gates
  • Charles E. Duross, Partner, Morrison & Foerster LLP
  • Jacob S. Frenkel, Partner, Shulman, Rogers, Gandal, Pordy & Ecker, P.A.
  • Karl A. Groskaufmanis, Partner, Fried, Frank, Harris, Shriver & Jacobson LLP
  • Brad S. Karp, Partner, Paul, Weiss
  • Jeffrey H. Knox, Partner, Simpson Thacher & Bartlett LLP
  • Philip S. Khinda, Partner, Steptoe & Johnson LLP
  • Russell G. Ryan, Partner, King & Spalding
  • Thomas A. Sporkin, Partner, BuckleySandler LLP.
  • John Reed Stark, Managing Director, Stroz Friedberg
  • Michael D. Trager, Partner, Arnold & Porter LLP
  • Jonathan R. Tuttle, Debevoise & Plimpton LLP
  • Martin S. Wilczynski, Senior Managing Director, FTI Consulting Forensic and Litigation practice

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

Please register here!

CLE Info and Forms

SEF2014 CLE -sm6.5 hrs CLE credit approved in VA, PA. Forms available here.


Links to materials available here.


When: Tuesday, October 14, 2014,
7:00 am - 8:00 am (breakfast & registration)
8:00 am - 5:00 pm (followed by cocktail party)
Where: Four Seasons Hotel (details, map)
2800 Pennsylvania Avenue, N.W.
Washington, D.C. 20007
CLE Credit: 6.5 hours (approved in VA and PA)

Corporate Sponsors

FTI Consulting

Stroz Friedberg


Bloomberg BNA

Law Firm Sponsors


Ropes &Gray













Arnold & Porter

Jenner & Block

Milbank 230x60