Deputy Chief, Structured New Products Unit, Division of Enforcement
U.S. SECURITIES AND EXCHANGE COMMISSION
Reid Muoio, Deputy Chief, Structured New Products Unit, Division of Enforcement, U.S. SECURITIES AND EXCHANGE COMMISSION
Reid A. Muoio is the Deputy Chief of the Complex Financial Instruments Unit within the SEC's Division of Enforcement. Mr. Muoio supervised numerous investigations involving the sale of complex financial instruments, including cases involving the sale of structured notes to retail investors; the sale of securities-based swaps to retail investors over the internet; an ETF switching/churning case; insider trading investigations involving contracts-for-differences; the first case against a major credit rating agency for misconduct in the rating of CMBS; and financial crisis era CDO cases against Goldman Sachs, Citigroup, JP Morgan, Mizuho and Wells Fargo/Wachovia and related culpable individuals. He is a graduate of Williams College and Yale Law School.
ALABAMA SECURITIES COMMISSION
Joseph Borg, Director, ALABAMA SECURITIES COMMISSION
Joseph Borg has been Director of the ASC since 1994. Mr. Borg is twice past president of the North American Securities Administrators Association (NASAA), serves as a member of its Board of Directors, served as Chair of NASAA's International Committee and as Chair of Enforcement. He currently is a member of the Board of Directors of the National White Collar Crime Center (NWCCC) and previously served as a member of the Board of Directors of the Investor Protection Trust (IPT).
Borg has testified before various committees of the U.S. Senate and U.S. House of Representatives including testimony on such areas as Microcap fraud; Criminal elements in the financial markets; Information sharing among financial regulatory agencies; Risks posed to everyday investors from IPOs in private equity and hedge funds; Illegal investment sales' practices victimizing senior citizens; and GSEs and SIPC Modernization.
Borg served as a U.S. delegate to an Intergovernmental Expert Group for the United Nations Commission on International Trade and Law (UNCITRAL).
Borg previously served as in-house corporate counsel to First Alabama Bank (n/k/a Regions Bank, 1979-1984) and has been an adjunct professor of law at Faulkner University Jones School of Law teaching securities law and banking (1982-2002), and has been a Partner in the Montgomery law firm of Capouano, Wampold, Prestwood & Sansone (1984-1994).
He is admitted to practice in Alabama, Florida, New York, U.S. Federal District Courts in Alabama and Florida, the 5th and 11th Circuit Courts of Appeal and the U.S. Supreme Court.
Managing Director, Associate General Counsel
Everett Seymour, Managing Director, Associate General Counsel, JP MORGAN
Everett Seymour, Managing Director and Associate General Counsel, JPMorgan Chase & Co. (1997-present). Head of Structured Investments - Americas practice group in the Legal Department supporting the Corporate & Investment Bank. Chair of SIFMA Issuers' Committee for Retail Structured Products (2011-present); Co-Chair of JPMorgan Continuing Legal Education Program (2004-present). Previous employment: Associate, Davis Polk & Wardwell; Clerk to Federal District Court Judge (CT). Education: University of Virginia Law School, JD (Law Review); Yale College, BA cum laude.
Vice President and Senior Counsel
Travis Batty, Vice President and Senior Counsel, DEUTSCHE BANK
Travis Batty is a Senior Counsel in Deutsche Bank's Global Equities Legal Department with primary legal coverage of the firm's US structured note, index-linked insurance, proprietary index and related equity derivatives businesses. Mr. Batty is also a co-chair of the Global Deutsche Bank Structured Products Legal Working Group. Before joining Deutsche Bank, Mr. Batty spent over 9 years in the Capital Markets practice at Sidley Austin LLP in New York.
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION
A.Valerie Mirko is the General Counsel of the North American Securities Administrators Association (NASAA). In her role, Ms. Mirko supervises the efforts of NASAA's Legal Department in its support of all aspects of NASAA's mission, including internal governance, member support, and external advocacy and outreach. Ms. Mirko focuses much of her work with U.S. state securities regulators on matters pertaining to investment adviser regulation and oversight, multistate enforcement investigations and settlements, and registration and disclosure requirements for broker-dealers and investment advisers. Ms. Mirko is also actively engaged in emerging regulatory issues relating to cybersecurity, technology and social media. Ms. Mirko joined NASAA's Legal Department in 2012 and most recently served as Deputy General Counsel. Prior to joining NASAA, Ms. Mirko was in private practice for several years in Washington, DC, where she counseled SEC-registered investment advisers on regulatory issues and represented broker-dealers and investment advisers subject to investigations by the SEC and FINRA. Prior to private practice, Ms. Mirko worked in-house in New York in legal and compliance roles at Oppenheimer and Co. Inc. and Merrill Lynch (now Bank of America Merrill Lynch). Ms. Mirko earned her undergraduate degree at Wellesley College, and completed her J.D. at George Washington University Law School. She is a member of the New York and District of Columbia bars and is on the adjunct faculty at George Washington University Law School. Ms. Mirko is a regular speaker at NASAA and industry conferences and roundtables.
Senior Vice President and Assistant General Counsel
David I. Fasman is a Senior Vice President and Assistant General Counsel in the Capital Markets Group at Citigroup Global Markets Inc. Mr. Fasman has broad experience representing public and private companies as issuers in public offerings and private placements of debt and equity securities, including initial public offerings, private placements of high-yield and investment grade debt securities to institutional investors under Rule 144A, public-for-private exchange offers, and private placements. He has also represented underwriters in public offerings and placement agents in private placements. He is the primary counsel to the structured products businesses at Citigroup and advises on all aspects of the issuance of structured products registered under the Securities Act of 1933 and exempt from registration pursuant to Regulation S, Rule 144A and Section 3(a)(2). Mr. Fasman works with trading, structuring and sales personnel in the equity derivative markets, focusing on the design, structuring and sale of new products linked to proprietary indices, equities, commodities, interest rates, credit, FX and other underlying assets. He advises on Securities Act of 1933, Securities Exchange Act of 1934, Regulation D, Regulation M, FINRA rules, Investment Company Act of 1940, Investment Advisers Act of 1940, ERISA and broker-dealer issues.
Mr. Fasman received his J.D. from Boston University School of Law in 2008 where he was an Editor for the Review of Banking and Financial Law and his B.A. from New York University, summa cum laude, in 2005 where he was elected to Phi Beta Kappa.
Director, Cross Asset Solutions and Strategies
BANK OF AMERICA MERRILL LYNCH
Ray Doherty, Director, Cross Asset Solutions and Strategies. BANK OF AMERICA MERRILL LYNCH
Ray Doherty is a Director at Bank Of America Merrill Lynch. He is part of the Investors Group within Cross Asset Solutions and Strategies.
He heads the AMRS Structured Note distribution channel for Institutional and 3rd Party distribution and also focuses on Family Offices and Pension and Endowment solutions.
Senior Of Counsel
MORRISON & FOERSTER LLP
Hillel Cohn, Senior Of Counsel, MORRISON & FOERSTER LLP
Hillel Cohn specializes in securities regulatory matters, including representation of foreign banking organizations, broker-dealers and investment advisers on securities compliance and regulatory issues. Mr. Cohn assists such clients with designing their operations and products to comply with applicable laws, provides advice on securities compliance issues and provides counsel in their dealings with the SEC, FINRA and other U.S. regulatory authorities. In addition, he has worked on a number of acquisitions, joint ventures, correspondent agreements, financings and restructurings of broker-dealers and investment advisers.
Mr. Cohn also advises public companies with respect to corporate governance, SEC compliance, securities offerings, mergers, acquisitions, and joint ventures. He has extensive experience handling public offerings of equity, debt and real estate securities and has also represented a number of emerging technology and life science companies in dozens of venture financings.
Mr. Cohn assists public companies ranging from small-cap issuers to NYSE listed companies with SEC reporting and compliance. Mr. Cohn has counseled a number of public companies with respect to the design and implementation of corporate governance policies and procedures. He also has acted as special counsel to special Board committees appointed to evaluate strategic options, including going private proposals, conduct internal investigations, or review proposed related party transactions.
Mr. Cohn assists public and private companies with mergers, acquisitions, joint ventures and similar transactions, with notable experience in handling cross border acquisitions and international investments. He has assisted a number of U.S. companies in establishing business operations in China through joint ventures and other business arrangements and he has represented a number of Japanese companies in their acquisitions of publicly held U.S. companies.
Prior to joining the firm, Mr. Cohn worked for the SEC for seven years and in private practice for 23 years. He has also been named as a 2007-2015 Best Lawyer in America in the field of Securities Law and listed in Super Lawyers magazine from 2004-2013. Mr. Cohn serves on the Greater Los Angeles Division Board of Directors of the American Heart Association.
Chief Administrative Officer and General Counsel, Legal and Compliance
Brad Busscher, Chief Administrative Officer and General Counsel, Legal and Compliance, INCAPITAL LLC
Brad Busscher is the Chief Administrative Officer and General Counsel of Incapital Holdings LLC. Prior to Incapital, Brad was General Counsel of Mesirow Financial, held senior level positions at EVEREN Securities and Van Kampen Investments. He previously served as an Enforcement Branch Chief for the Securities and Exchange Commission. Brad has a BA from Cornell University, a JD from the University of Miami, and an MBA from the University of Chicago.
STRUCTURED PRODUCTS ASSOCIATION
Keith Styrcula, Chairman, STRUCTURED PRODUCTS ASSOCIATION
MORRISON & FOERSTER LLP
Remmelt Reigersman, Partner, MORRISON & FOERSTER LLP
Remmelt Reigersman is a partner in the New York office and a member of the firm's Tax Department.
His practice is concentrated on federal and international tax matters. Mr. Reigersman advises on a wide variety of sophisticated capital markets transactions and represents issuers, investment banks/financial institutions, and investors in financing transactions, including public offerings and private placements of equity, debt and hybrid securities, as well as structured products. Mr. Reigersman's areas of expertise further include restructurings (both in and out of bankruptcy), debt and equity workouts as well as domestic and international mergers, acquisitions, reorganizations, and joint ventures.
Managing Director, Head of US Retail Structured Products
Scott Kerbel, Managing Director, Head of US Retail Structured Products, HSBC SECURITIES
Scott Kerbel is a Managing Director and Head of US Retail Structured Products at HSBC Bank USA, N.A. His responsibilities include origination and marketing of structured investment solutions into a wide variety of US broker-dealer distribution channels.
Prior to his work in structured products, Scott was a foreign exchange derivative trader at HSBC as well as other large international banks in London, New York and Tokyo.
Scott has a BBA in Finance from The George Washington University in Washington, DC.