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Speaker Biographies |
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Laura E. Bader |
Michael R. Butowsky |
Michele Lew Gibbons |
Joseph I. Goldstein |
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Caryn L. Jacobs |
Elizabeth M. Knoblock |
Herbert Krueger |
Nicholas Kynoch |
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Stephanie M. Monaco |
Adriaen M. Morse, Jr. |
Richard J. Morvillo |
Lennine Occhino |
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Sara S. M. Or |
Amy Pershkow |
Jerome Roche |
Linda K. Shore |
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Claudius O. Sokenu |
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 Laura
E. Bader
Chicago, is a partner in the firm’s ERISA practice group who focuses on the
pension investment area. Laura has experience structuring and negotiating
private equity, real estate and hedge funds for fund sponsors; structuring
underlying investments for ERISA compliance; and counseling ERISA plans,
investment managers, insurance companies and a variety of pooled investment
vehicles on compliance matters.
Full Resume
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 Michael R. Butowsky
New York, is a partner in the firm's financial services
regulatory and enforcement practice. Michael provides organizational,
regulatory, and transactional advice to investment vehicles (such as hedge
funds, private equity funds, funds of funds and registered investment companies)
and their advisers, brokers, sponsors and service providers. He also counsels
clients regarding Investment Company Act of 1940 "status" issues for all types
of entities.
Full Resume
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 Michele
("Mitch") Lew Gibbons
New York and Houston, is a partner in the
firm's financial services regulatory and
enforcement practice. Mitch provides
organizational, regulatory, and transactional
advice for investment advisers, broker-dealers
and investment funds, including private equity
funds, hedge funds, funds of funds and
registered investment companies. She also
represents investment advisers, broker-dealers
and funds concerning mergers and acquisitions
and portfolio transactions.
Full Resume
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 Joseph
I. Goldstein
Washington, is a partner in the firm’s
litigation practice who focuses on securities
enforcement defense and securities. Joseph
concentrates on representing individuals and
entities facing investigations by securities
regulators, including the US Securities and
Exchange Commission and state securities
regulators, self-regulatory organizations,
including FINRA, and criminal authorities,
including the US Department of Justice, state
attorneys general, and other criminal
prosecutors. He also counsels clients in
internal investigations, civil, criminal, and
class action litigation involving allegations
of violations of federal and state securities
statutes, and rules. In addition to his years
of experience, he was formerly the Associate
Director of the Division of Enforcement of the
US Securities and Exchange Commission, as well
as Chairman of the Penny Stock Task Force and
a member of the Justice Department's National
Bank Fraud and Securities and Commodities
Fraud Working Groups. Previously, Joseph
served as Executive Assistant to SEC Chairman
Shad, having been both Assistant Director and,
prior to that, Branch Chief of the Division of
Enforcement.
Full Resume
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 Caryn
L. Jacobs
Chicago, is a partner in the firm’s
litigation practice and a former federal
prosecutor. Co-leader of the firm's
securities and corporate governance section,
she concentrates on federal securities
actions, class actions and class
settlements; professional negligence
(focusing on accountant liability),
contracts, acquisitions-related disputes,
business torts and other commercial
litigation; financial institution fraud
(both criminal and civil); and federal,
bankruptcy, removal, and arbitration
jurisdiction issues. Beyond the many
criminal cases she tried as a federal
prosecutor, civil trials in which Caryn was
a core trial team member include the
Lexecon v. Milberg case, in which Mayer
Brown client Lexecon won a $45 million
judgment against Milberg Weiss for abuse of
process, and the JWP Securities
Litigation, in which Mayer Brown client
Ernst & Young LLP won a three month-trial
alleging securities fraud. Full Resume
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 Elizabeth
M. Knoblock
Washington, is a partner in the firm’s
financial services regulatory and
enforcement practice. She focuses her
practice on the federal, state and
international laws governing the investment
management of mutual funds, hedge funds and
private accounts, including institutional,
retail and wrap-fee clientele. Elizabeth
previously practiced as General Counsel and
Senior Vice President with Templeton
Investment Counsel, Inc., as well as in
various legal capacities with the following
firms: Kidder Peabody & Co. Inc.; Gruntal &
Co., Incorporated; Shearson Lehman Hutton
Inc.; E.F. Hutton & Co. Inc.; the Division
of Investment Management of the United
States Securities and Exchange Commission;
and the Office of the General Counsel of the
Commodity Futures Trading Commission.
Elizabeth has also served as a Director of
the National Society of Compliance
Professionals.
Full Resume
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 Herbert
W. Krueger
Chicago, is the head of the firm's ERISA
practice and also a member of the firm's
management committee. Bert has more than 30
years of experience in ERISA and public
pension law and is a recognized authority in
the area. He is a frequent participant at
professional and industry meetings with
respect to fiduciary, tax and ERISA aspects of
pension investments.
Full Resume
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 Nicholas
Kynoch
London, is a partner in the firm's financial
services regulatory and enforcement practice.
Nicholas advises a broad range of banks and
financial institutions on a diverse range of
issues, both regulatory and commercial in
nature. His practice includes advising on the
need for authorisation and the scope of
regulation of financial services within the
UK; on issues that banks and financial
institutions face as a result of regulation by
the Financial Services Authority under the
Financial Services and Markets Act 2000,
including drafting and advising on standard
form client documentation, internal systems
and controls, management structure and
outsourcing arrangements for authorised
persons; anti-money laundering requirements
and procedures; advising on the scope of
financial promotion in the UK and the
performance of regulated activities and the
availability of relevant exemptions;
marketing, selling and setting up collective
investment schemes in the UK, including
alternative investment funds, and property
funds, by both overseas and domestic
institutions; advice on the Approved Person
regime and the performance of Controlled
Functions, including the training, competence
and disciplinary requirements to be met in
relation to Approved Persons. Full Resume
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 Stephanie M. Monaco
Washington, is a partner in the firm’s financial services regulatory and
enforcement practice. Her
practice focuses on investment company and investment adviser regulation and
compliance with the federal Investment Company Act of 1940 and the Investment
Advisers Act of 1940 and related laws. Stephanie advises a variety of registered
investment companies; hedge funds; private equity funds; investment advisers;
and other entities seeking either to become registered or to structure their
business affairs to avoid registration and regulation. She also has experience
providing advice concerning the inter-relationship of these practice areas and
other related practice specialties, such as broker-dealer regulation, transfer
agent regulation and ERISA matters. Prior to entering private practice,
Stephanie worked at the Securities and Exchange Commission, Division of
Investment Management in the Chief Counsel's office from 1983 until 1986, and
from 1988 until 1991 as a Branch Chief in the Office of Investment Company
Regulation.
Full Resume
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 Adriaen
M. Morse, Jr.
Washington, is a partner in the firm's
litigation practice. Adriaen has represented clients in
joint investigations and actions by US and
European Union securities regulators and
criminal authorities investigating potential
civil and criminal violations of the
securities laws and regulations of the US and
EU member states. Adriaen’s practice focuses
on representing financial services firms,
accounting firms, public companies, and
individuals in investigations and litigation
before the US Securities and Exchange
Commission, FINRA, PCAOB, and other federal and
state securities industry regulators. He also
represents clients in civil litigation,
arbitration, and criminal matters involving
the securities laws.
Full Resume
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 Richard
J. Morvillo
Washington, is a partner in the firm's litigation practice and is the Chair of
Mayer Brown's Securities Enforcement Group. Formerly a Branch Chief
with the Securities and Exchange Commission's Division of Enforcement, Richard
has been focusing for nearly 30 years in SEC enforcement and related white
collar criminal matters as well as private securities litigation. He has handled
many SEC, FINRA and grand jury investigations on behalf of corporations,
corporate executives, brokerage firms, investment advisors, accountants,
lawyers, hedge funds and individual investors. He has successfully litigated
several SEC Enforcement cases to judgment. In addition, he has litigated
numerous complex securities cases, including class actions and shareholder
derivative suits, in federal courts throughout the country. Richard also has
extensive experience conducting internal investigations for corporations and has
advised members of special committees of directors concerning their obligations
and rights in handling and evaluating corporate transactions, internal
investigations and shareholder litigation.
Full Resume
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 Lennine Occhino
Lennine Occhino is a member of the ERISA and
Private Investment Fund practices. Since
joining the firm in 1988, Lennine has
concentrated exclusively in the pension
investment area, advising on the structuring
and offering of alternative investment
vehicles of all types to ERISA and government
plans and other institutional investors,
including onshore and offshore hedge funds,
private equity funds, real estate funds,
infrastructure funds, group trusts, bank
collective trusts, insurance company separate
accounts, REMICs and REITs. Lennine also
advises plan sponsors, trustees, investment
managers, and other fiduciaries with respect
to their fiduciary obligations and compliance
procedures. She has extensive experience
representing clients in connection with
Department of Labor prohibited transaction
exemption and advisory opinion requests, as
well as audits and enforcement actions brought
by the Department of Labor.
Full Resume
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 Sara S. M. Or
Hong Kong, is a partner in the firm's
financial services regulatory and enforcement
practice and is the head of the Hong Kong
practice. Sara advises clients on banking,
securities and insurance regulations,
compliance, licensing and other regulatory
matters (including assisting clients to
structure and conduct activities in Hong
Kong). She also assists clients to obtain any
necessary license or authorization for
carrying out activities in Hong Kong. Clients
include banks, brokers, advisers, hedge funds,
private equity funds, insurance companies and
other financial institutions. Sara works
regularly and has good working relationship
with regulatory authorities such as the Hong
Kong Monetary Authority, the Securities and
Futures Commission and the Insurance
Authority.
Full Resume
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 Amy
Pershkow
Washington, is a partner in the firm's financial services regulatory and
enforcement practice. Amy's practice focuses on investment companies, investment
advisers and financial institutions. She assists clients with a wide variety of
investment management matters, including: the formation, registration, ongoing
operation, compliance and reorganization of investment companies and investment
advisers; preparation of exemptive applications, "no-action" letter requests,
registration statements and forms, proxy statements, compliance procedures,
corporate documents and other regulatory and business filings and documents.
She also advises investment advisers and
investment companies, including mutual funds,
funds of funds and closed-end funds on various
matters, including: advertising, custody,
personal trading, securities lending,
anti-money laundering, privacy and
Sarbanes-Oxley issues affecting investment
companies and investment advisers.
Full Resume
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 Jerome
J. Roche
Washington, is a partner in the firm's
financial services regulatory and enforcement
practice. Jerome represents broker-dealers and
other financial institution sponsors,
managers, administrators and investors in
numerous asset management and fiduciary
matters. Jerome assists with mergers,
consolidations and restructuring transactions
of financial institutions and guides financial
institutions in complying with and commenting
on rule-making efforts of the SEC, FINRA and
other securities self-regulatory
organizations, as well as related changes to
state and federal financial services
legislation. Mr. Roche was a member of the
staff of the SEC's Division of Market
Regulation (now known as the Division of
Trading and Markets) where he drafted
exemptive, interpretive and no-action
positions concerning broker-dealer
status/registration issues and the
anti-fraud/anti-manipulation provisions of the
federal securities laws.
Full Resume
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 Linda
K. Shore
Washington, is an attorney in the firm's ERISA
practice. Linda entered private practice in
1988 after several years with the U.S.
Department of Labor. She focuses her practice
on structuring private investment funds,
commingled trusts, insurance company separate
accounts, REITs and other investment products
to be offered to ERISA and governmental plan
investors. She also regularly represents
clients in connection with government
investigations, regulatory filings, and
legislative issues.
Full Resume
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 Claudius
Sokenu
New York, is a partner in the firm's
litigation practice. Claudius concentrates his
practice in the areas of securities
litigation, SEC enforcement, white-collar
criminal defense, corporate internal
investigations, FINRA and other self
regulatory organization enforcement and
arbitration proceedings, and general complex
commercial litigation. Claudius has handled
matters that require concurrent representation
in the civil, criminal and political spheres.
Prior to joining the firm, Claudius was a
Senior Counsel in the Washington, D.C. office
of the U.S. Securities & Exchange Commission’s
Division of Enforcement.
Full Resume
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