As regulators roll out new rules and tougher enforcement policies, we’ll examine the evolving complexities GCs may face when it comes to corporate criminal investigations. On November 2, join Custom Events From WSJ and FTI Consulting for the third event of this year’s Modern GC series on The New Regulations Impacting White Collar Investigations.
From our vantage point at ASPIRE One World Trade Center, 102 floors above ground, we’ll offer general counsels sweeping views of what’s coming their way from federal regulators, including the Department of Justice, Federal Trade Commission and Commodity Futures Trading Commission.
From regulating Wall Street to protecting Main Street, from voluntary self-disclosure to antitrust actions, from cybersecurity to cryptocurrency, GCs attending this event will walk away with actionable insights on mitigating corporate vulnerabilities from crimes of financial transactions.
Once known as the most aggressive prosecutor of corruption on Wall Street, we’ll
sit down with Preet Bharara to talk about what has changed when it comes to
investigations and criminal litigations since his time in office and his advice for
general counsels when it comes to avoiding prosecutions.
Preet Bharara | Former U.S. Attorney, Southern District of New York; Partner, WilmerHale; Host, Stay Tuned With Preet and CAFE Insiders
In conversation with:
Almar Latour | CEO, Dow Jones; Publisher, The Wall Street Journal
We will look at regulations driven by emerging trends AI, digital assets and cybersecurity coming from the CFTC, as well as proposed changes to decades-old regulations and their potential impact on GCs.
We will also explore the emerging and more aggressive antitrust landscape coming from the FTC, the slew of lawsuits it has filed and the impact from the changes it has proposed to its processes.
Kristin Johnson | Commissioner, Commodity Futures Trade Commission
WIlliam Kovacic | Former Chair, Federal Trade Commission; Global Competition Professor of Law and Policy; Professor of Law; Director, Competition Law Center, GW Law
In conversation with: Nick Elliott, Head of Communities, Dow Jones Risk & Research
We will break down the Justice Department’s corporate criminal enforcement priorities, including a new and enhanced premium on voluntary self-disclosure and the focus on corporate crimes with national security implications. Hear the perspectives of the key players involved in any white collar investigation.
Marshall Miller | Principal Associate Deputy Attorney General, U.S. Department of Justice
Karen Seymour | Former General Counsel, Goldman Sachs; Partner, Sullivan & Cromwell
Michael Driscoll | Former Assistant Director in Charge of the Federal Bureau of Investigation’s New York office; Senior Managing Director, FTI Consulting Cybersecurity
In conversation with: Nick Elliott, Head of Communities, Dow Jones Risk & Research
Preet Bharara, a former United States attorney for the Southern District of New York (SDNY), is a renowned and highly regarded lawyer who focuses on investigations and criminal litigation matters. Dubbed “one of the most consequential prosecutors in American history” by The New Yorker, Bharara led some of the most significant criminal and civil litigations brought in the SDNY on behalf of the United States, leaving an indelible impact on the office. He is widely recognized as one of the most effective and transformative U.S. attorneys to ever lead the SDNY and one of the most credible voices in law enforcement.
In May 2009, President Obama nominated Bharara to become the U.S. attorney for the SDNY, with Bharara’s nomination unanimously confirmed by the U.S. Senate in August 2009. While serving as U.S. attorney from 2009 to 2017—one of the longest-serving appointments in the history of the SDNY—he oversaw more than 200 assistant U.S/ attorneys, who handled cases involving civil rights violations, cybercrime, domestic and international terrorism, financial fraud, gang violence, narcotics and arms trafficking, organized crime and public corruption. With Bharara at the helm, the SDNY saw one of its most productive periods in its history.
Steven Gunby joined FTI Consulting as president and CEO in 2014. Since then, FTI Consulting’s annual revenues have grown over 80% and the company’s equity market capitalization has quadrupled.
Prior to joining FTI Consulting, Mr.Gunby enjoyed a 30-year career at The Boston Consulting Group, Inc., overseeing global transformation and large-scale change practice, leading and generating some of the firm’s most significant client relationships. Prior to that, Mr.Gunby served as the chairman of North and South America, where he helped triple the region's revenues, increased recruiting and fostered people development initiatives.
Throughout his career, Mr.Gunby has helped clients drive change in performance in their organizations via fundamental shifts in strategy, operations, processes, structure and culture.
Mr.Gunby is a graduate of the Yale Law School where he was an editor of the Law Review, as well as the Yale School of Management and Cornell University.
Commissioner Johnson was sworn in as a CFTC Commissioner on March 30, 2022, after being nominated by President Joseph Biden in September 2021, and unanimously confirmed by the United States Senate. Commissioner Johnson is a nationally recognized expert on financial markets risk management law and policy with specialization in the regulation of complex financial products including the origination, distribution, and secondary market trading, clearing, and settlement of securities and derivatives. She is an internationally recognized expert on financial markets regulation and corporate governance, compliance, and risk management. Her recent work examines the implications of emerging innovative technologies including distributed digital ledger technologies that enable the creation of digital assets and intermediaries and artificial intelligence technologies that target commercial and consumer financial transactions, transfers, and assessments.
Prior to joining the Commission, she held endowed professorships at Emory University and Tulane University Law Schools and visiting professorships at prestigious law schools around the nation. She taught courses in the regulation of securities and derivatives markets, financial institutions, including courses on fintech, the development of blockchain technologies and artificial intelligence, as well as corporations and ethical leadership. She is an elected member of the American Law Institute, an American Bar Foundation Fellow, and Chair of the Securities Regulation Section and the Executive Committee of the Business Associations and Financial Institutions and Consumer Financial Services Sections of the Association of American Law Schools.
Prior to entering the academy, Commissioner Johnson served as Vice President and Assistant General Counsel in the Treasury Services Division of one of the largest financial institutions in the world supporting private funds cash management services, a corporate associate at Simpson, Thacher, and Bartlett LLP’s New York and London offices where she represented issuers and underwriters in domestic and international debt and equity offerings, lenders and borrowers in banking and credit matters, and private equity firms and publicly-traded companies in mergers and acquisitions. Before attending law school, Commissioner Johnson served as an analyst in the Asset Management Division of a storied financial institution. She clerked for a federal judge who previously served on the United States District Court for the District of New Jersey.
Commissioner Johnson has a B.S. with honors from Georgetown University Edmund Walsh School of Foreign Service and a J.D. from The University of Michigan Law School where she served as a senior editor on the Michigan Law Review and received the Clara Belfield and Henry Bates International Research Fellowship.
As CEO of Dow Jones and as publisher of The Wall Street Journal, Almar Latour drives transformation and growth for the world’s foremost business media and financial information brands, which include The Journal, Barron’s, Investor’s Business Daily, MarketWatch and Risk & Compliance. Since his appointment to CEO in 2020, Mr. Latour has led Dow Jones through a period of significant growth and realignment. The brands today engage more c-suite executives and decision-makers globally than any other media company.
Previously, he served as publisher of Barron’s Group and executive vice president of Dow Jones. Before joining Barron’s Group, Almar served as Executive Editor of The Wall Street Journal and Dow Jones. He also was editor in chief of The Wall Street Journal and Dow Jones Newswires in Asia, where he significantly grew the company’s digital footprint.
Marshall L. Miller is the Principal Associate Deputy Attorney General of the United States. In this role, he is a member of the Department’s senior leadership and is the principal counselor to the Deputy Attorney General. Mr. Miller assists in the leadership’s oversight of all Department components, which includes, among others, the 94 U.S. Attorneys’ Offices, the National Security Division, the Criminal Division, and the Department’s law enforcement bureaus.
Before joining the Office of the Deputy Attorney General, Mr. Miller was in private practice as a partner at the law firm of Kaplan Hecker & Fink and, prior to that, of counsel at Wachtell, Lipton, Rosen & Katz. Mr. Miller also served as Chair of the White Collar Crime Committee of the New York City Bar Association.
Before private practice, Mr. Miller served as the Principal Deputy Assistant Attorney General and Chief of Staff of the Criminal Division of the Department of Justice, where he supervised over 600 federal prosecutors and oversaw some of DOJ’s most significant prosecutions. In that position, Mr. Miller oversaw, among other programs, the Foreign Corrupt Practices Act program, the Kleptocracy Asset Recovery Initiative, the Office of International Affairs, and the Computer Crimes & Intellectual Property Section, DOJ’s flagship unit that combats cybercrime. He testified on Capitol Hill, briefed Congressional staff, and advised executive branch officials on initiatives ranging from improving cybersecurity to combating foreign corruption and kleptocracy. Mr. Miller also personally managed and coordinated for DOJ the successful Senate confirmation process for the Attorney General of the United States.
Mr. Miller joined DOJ’s Criminal Division from the United States Attorney’s Office for the Eastern District of New York (EDNY), where he worked as an Assistant United States Attorney for approximately 12 years. At EDNY, Mr. Miller served in several leadership positions, ultimately as the Chief of the Criminal Division, overseeing all criminal prosecutions and spearheading the launch of the Office’s National Security & Cybercrime section.
Mr. Miller taught at NYU Law School and Fordham University Law School as an adjunct professor from 2006 to 2012 and full-time from 2003 to 2005. Mr. Miller clerked for the Honorable Allyne R. Ross, United States District Judge for the Eastern District of New York. He earned both his J.D. and B.A. from Yale.
Before joining the law school in 1999, William E. Kovacic was the George Mason University Foundation Professor at the George Mason University School of Law. From January 2006 to October 2011, he was a member of the Federal Trade Commission and chaired the agency from March 2008 to March 2009. He was the FTC’s General Counsel from June 2001 to December 2004. In 2011 he received the FTC’s Miles W. Kirkpatrick Award for Lifetime Achievement.
Since August 2013, Professor Kovacic has served as a Non-Executive Director with the United Kingdom’s Competition and Markets Authority. From January 2009 to September 2011, he was Vice-Chair for Outreach for the International Competition Network. He has advised many countries and international organizations on antitrust, consumer protection, government contracts, and the design of regulatory institutions.
At GW, Professor Kovacic has taught antitrust, contracts, and government contracts. He is co-editor (with Ariel Ezrachi) of the Journal of Antitrust Enforcement. His publications since returning to GW in 2011 include “Good Agency Practice and the Implementation of Competition Law” in European Yearbook of International Economic Law (Christoph Hermann ed. 2013); “Antitrust in High-Tech Industries: Improving the Federal Antitrust Joint Venture” in George Mason Law Review (2012); “Behavioral Economics: Implications for Regulatory Agency Behavior” in Journal of Regulatory Economics (2012) (with James Cooper); “Competition Agency Design: What’s on the Menu?” in European Competition Journal (2012) (with David Hyman); “Plus Factors and Agreement in Antitrust Law” in Michigan Law Review (2011) (with Robert Marshall, Leslie Marx & Halbert White); “Ensuring Integrity and Competition and Public Procurement Markets: A Dual Challenge for Good Governance” in The WTO Regime on Government Procurement: Challenge and Reform (Sue Arrowsmith & Robert Anderson, eds. 2011) (with Robert Anderson & Anna Caroline Mueller); “The International Competition Network: Its Past, Current, and Future Role” inMinnesota Journal of International Law (2011) (with Hugh Hollman); “The William Humphrey and Abram Myers Years: The FTC from 1925 to 1929” in Antitrust Law Journal (2011) (with Marc Winerman); Professor Kovacic also is co-author (with Andrew Gavil & Jonathan Baker) of Antitrust Law in Perspective: Cases, Concepts and Problems in Competition Policy (2d ed. 2008) and Antitrust Law & Economics in a Nutshell (5th ed. 2004) (with Ernest Gellhorn & Stephen Calkins).
Karen Patton Seymour is a member of the Firm’s Management Committee. She has a multidisciplinary practice focusing on corporate governance, crisis management, complex commercial litigation, white-collar criminal defense and internal investigations.
Ms. Seymour recently rejoined the Firm from Goldman Sachs, where she served as Executive Vice President and General Counsel and was a member of the Management Committee. She oversaw the firm’s strategy regarding class action and other litigation and enforcement issues and served as a key advisor to the firm across a wide variety of legal, reputational and other matters. She successfully resolved a number of important matters on behalf of the firm and was key in negotiating the firm’s most critical legal matters, including the multijurisdictional settlement relating to 1MDB. She also advised the “Launch with GS,” Goldman Sachs’ $500 million commitment to narrow the gender investing gap and to increase access to capital for women and diverse entrepreneurs and investors, and served on the Diversity and Inclusion Committee.
Prior to her time at Goldman Sachs, Ms. Seymour was co-managing partner of S&C’s Litigation Group and represented corporations and individuals in state and federal investigations and proceedings involving allegations of securities fraud and insider trading, and FCPA, anti-money laundering, OFAC sanctions, and criminal antitrust violations. She often worked on complex, multi-jurisdictional matters, such as leading the negotiations of numerous significant settlements involving multiple jurisdictions. Illustrative of this is the high profile sanctions settlement Ms. Seymour secured for BNP Paribas in 2014 for which the Financial Times noted the “limited fallout.” Ms. Seymour has tried numerous jury and bench trials in federal court and argued many appeals before the U.S. Court of Appeals for the Second Circuit. She has deep experience representing corporations and individuals outside of the United States in responding to U.S. inquiries and investigations, and assisting in complex international investigations.
Ms. Seymour has been recognized as a “Trailblazer” by The National Law Journal and was named “Attorney of the Year” twice, by Benchmark and Best Lawyers in America, for her white-collar and investigations work. In 2021, Chambers USA recognized Ms. Seymour as an “Eminent Practitioner,” a recognition that is given to a select few attorneys, for her work in financial services regulation and white-collar crime and government investigations. In 2023, Chambers USA designated Ms. Seymour a “Star Individual” in white-collar crime & government investigations. She was named “Investigations Professional of the Year” by Global Investigations Review in the inaugural presentation of the award in 2021.
Mike Driscoll is an experienced executive with more than 26 years of leadership and investigative experience in cybersecurity, intelligence and criminal and national security. Mr. Driscoll leads complex cybersecurity investigations and works closely with clients to build out their cyber preparedness and resiliency programs, assisting them to address their enterprise risk.
Prior to joining FTI Consulting, Mr. Driscoll served as the Assistant Director in Charge of the Federal Bureau of Investigation’s (“FBI”) New York office, where he directed more than 2,400 employees and task force personnel from 60 different agencies. He has a proven track record in ensuring legal and regulatory compliance, having guided numerous government and private organizations in developing their cyber programs. Mr. Driscoll has extensive experience working with international partners in the government and private sector and is an expert in managing complex investigations, cyber attacks and disruption of hostile nation-state activity. He is a certified legal advisor and leverages advanced technical skills in cybersecurity and fraud detection.
Since becoming a special agent in 1996, Mr. Driscoll has held several roles within the FBI including: Assistant Legal Attaché for London, where he oversaw the cyber program and worked closely with United Kingdom counterparts; Chief of the Violent Crime Section, which leads the FBI’s Crimes Against Children program and efforts to reduce violent crime; Special Agent in Charge of New York’s Criminal Division; and a director of New York’s Counterintelligence and Cyber Division.
Nicholas Elliott is head of communities at Dow Jones Risk & Research, which combines Dow Jones Risk & Compliance and Factiva. Previously he had a long career at The Wall Street Journal and Dow Jones as a journalist, moderator, editorial leader and content innovator. Throughout his career he has focused on serving the information needs of professional audiences, both in the corporate and financial markets. In his most recent position at the Journal he was head of professional products innovation & strategy, a role in which he founded WSJ Pro’s cybersecurity newsletter, its cybersecurity and sustainability events and managed research teams producing premium analysis and proprietary data. Previously he was the founding editor of WSJ Risk & Compliance, which became a must-read in that market, and launched the Journal’s long-running series of risk & compliance events. He held previous roles as managing editor of Dow Jones Private Markets, managing editor of commodities and futures at Dow Jones Newswires, European capital markets editor and as a reporter covering European bonds and monetary policy. He holds a degree in economics from the University of York, U.K.
Mae Cheng is the executive vice president and general manager of leadership products and services at Dow Jones. She oversees Dow Jones’s leadership and C-Suite products and is responsible for the financial performance of the company’s luxury portfolio, comprised of WSJ. Magazine, Penta and Mansion Global. Most recently, she managed the P&L of a portfolio that included a number of the Dow Jones consumer brands, including Barron’s, MarketWatch and Financial News. In that role, Mae spearheaded efforts that drove record revenue and subscription growth for the publications.
She was previously the publisher and editor at Mansion Global, the premiere news site for luxury residential properties around the world, and Barron’s Penta, a wealth management and luxury publication.
Mae has been at the forefront of digital strategy efforts in newsrooms and has led a number of start-up initiatives. In a prior role as special projects editor for Dow Jones and The Wall Street Journal, Mae worked on the launch of a suite of professional services content verticals and was key to the development of the editorially driven events portion of The Wall Street Journal’s subscriber benefits program.
