Partner and Co-Chair of Securities & Regulatory Enforcement, Stradley Ronon
As a former supervisory assistant chief litigation counsel in the Enforcement Division of the U.S. Securities and Exchange Commission (SEC), Jan Folena has led and successfully litigated many of the financial service industry’s most complex and high-profile cases. She has appeared in federal courts across the United States as lead trial counsel, handling issues at the forefront of the securities industry, including in one of only a few financial fraud jury trials, a highly publicized insider trading trial, and an enforcement action against the Big Four accounting firms.
As co-chair of Stradley Ronon’s securities and regulatory enforcement practice, Jan focuses her practice on assisting firms and individuals in navigating internal investigations, regulatory enforcement matters, commercial disputes and, when necessary, arbitration, mediation and trial. She regularly advises asset managers, broker-dealers, registered and private funds, public companies, officers, directors, principals and auditors on complex matters involving enforcement of federal and state securities laws, including regulatory examinations, internal investigations and litigation. Jan also represents clients in congressional inquiries, before state regulators, and in third-party litigation.
In her previous supervisory role at the SEC, Jan managed a team of trial lawyers and investigative staff while providing legal guidance and litigation risk assessment to the commission and SEC division heads. Jan was selected to serve as the first assistant chief litigation counsel to the SEC’s Asset Management Unit providing legal advice and serving as litigation counsel for cases brought under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Prior to joining the SEC, Jan served as chief trial counsel at the Commodity Futures Trading Commission and as trial counsel at the U.S. Department of Justice, Commercial Litigation Branch.
Jan’s expansive government career serves as the foundation for her substantial insights and firsthand knowledge into industry best practices and solutions for clients. She is frequently sought after for her sophisticated knowledge and understanding of federal securities laws, administrative procedure, federal and state court litigation, and enforcement actions at the SEC and other regulatory agencies.
Senior Litigation Counsel, New Civil Liberties Alliance
Peggy Little, Senior Counsel at New Civil Liberties Alliance, a new public interest law firm challenging the administrative state founded in 2017 by Professor Philip Hamburger, has over three decades of experience as a trial and appellate litigator in complex, high-stakes regulatory, mass-tort, class-action, products liability, securities, commercial and civil rights litigation representing individuals and high-profile litigants including Fortune 50 companies, financial institutions, public companies, and universities in state and federal courts, including the United States Supreme Court.
Peggy is a graduate of Yale College and Yale Law School, where she was awarded the Potter Stewart Prize. She was a law clerk to the Hon. Ralph K. Winter on the U.S. Court of Appeals for the Second Circuit. Prior to starting her own trial and appellate law firm in 1997, where she was appellate consulting counsel to the New Haven firefighters in Ricci v.DeStefano, a landmark 2009 United States Supreme Court decision, Peggy was a partner at Tyler, Cooper & Alcorn in New Haven, Connecticut. From 2004 to early 2018, Peggy directed, part-time, the Federalist Society Pro Bono Center.
Peggy has participated in many national conferences and symposia addressing issues of current importance in constitutional law – specifically state and federal constitutional questions regarding the separation of powers and the first amendment – and regularly speaks, blogs and publishes on the topic of the unconstitutional exercise of governmental power. In May of 2017, she presented her paper, Pirates at the Parchment Gates, to a conference of state and federal judges at the Law and Economics Center at the Antonin Scalia Law School. Her work has been published by law reviews, legal publications, the Federalist Society, the Wall Street Journal, Law and Liberty and the Manhattan Institute.
Recent publications include: How the SEC silences its critics, The SEC should listen to Sen. Cotton, Lucia v. SEC, Opening Salvos in the Opioid Litigation Wars, Straight Dope on the Opioid Crisis
Executive Director, Milken Institute Center for Financial Markets
Michael S. Piwowar is the executive director of the Milken Institute Center for Financial Markets. Dr. Piwowar served as a Commissioner at the U.S. Securities and Exchange Commission from August 15, 2013 to July 6, 2018. He was first appointed to the SEC by President Barack Obama and was designated Acting Chairman of the Commission by President Donald Trump from January 23, 2017 to May 4, 2017. He was previously the Republican chief economist for the U.S. Senate Committee on Banking, Housing, and Urban Affairs under Senators Mike Crapo (R-ID) and Richard Shelby (R-AL) and served as the lead Republican economist on the four SEC-related titles of the Dodd-Frank Act and the JOBS Act. During the financial crisis and its immediate aftermath, Dr. Piwowar served in a one-year fixed-term position at the White House as a senior economist at the President’s Council of Economic Advisers (CEA) in both the George W. Bush and Barack Obama Administrations. Before joining the White House, Dr. Piwowar worked as a Principal at the Securities Litigation and Consulting Group (SLCG). He received a B.A. in Foreign Service and International Politics from the Pennsylvania State University, an M.B.A. from Georgetown University, and a Ph.D. in Finance from the Pennsylvania State University.
Partner and Co-Chair of Securities & Regulatory Enforcement, Stradley Ronon
As a former supervisory assistant chief litigation counsel in the Enforcement Division of the U.S. Securities and Exchange Commission (SEC), Jan Folena has led and successfully litigated many of the financial service industry’s most complex and high-profile cases. She has appeared in federal courts across the United States as lead trial counsel, handling issues at the forefront of the securities industry, including in one of only a few financial fraud jury trials, a highly publicized insider trading trial, and an enforcement action against the Big Four accounting firms.
As co-chair of Stradley Ronon’s securities and regulatory enforcement practice, Jan focuses her practice on assisting firms and individuals in navigating internal investigations, regulatory enforcement matters, commercial disputes and, when necessary, arbitration, mediation and trial. She regularly advises asset managers, broker-dealers, registered and private funds, public companies, officers, directors, principals and auditors on complex matters involving enforcement of federal and state securities laws, including regulatory examinations, internal investigations and litigation. Jan also represents clients in congressional inquiries, before state regulators, and in third-party litigation.
In her previous supervisory role at the SEC, Jan managed a team of trial lawyers and investigative staff while providing legal guidance and litigation risk assessment to the commission and SEC division heads. Jan was selected to serve as the first assistant chief litigation counsel to the SEC’s Asset Management Unit providing legal advice and serving as litigation counsel for cases brought under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Prior to joining the SEC, Jan served as chief trial counsel at the Commodity Futures Trading Commission and as trial counsel at the U.S. Department of Justice, Commercial Litigation Branch.
Jan’s expansive government career serves as the foundation for her substantial insights and firsthand knowledge into industry best practices and solutions for clients. She is frequently sought after for her sophisticated knowledge and understanding of federal securities laws, administrative procedure, federal and state court litigation, and enforcement actions at the SEC and other regulatory agencies.
Senior Litigation Counsel, New Civil Liberties Alliance
Peggy Little, Senior Counsel at New Civil Liberties Alliance, a new public interest law firm challenging the administrative state founded in 2017 by Professor Philip Hamburger, has over three decades of experience as a trial and appellate litigator in complex, high-stakes regulatory, mass-tort, class-action, products liability, securities, commercial and civil rights litigation representing individuals and high-profile litigants including Fortune 50 companies, financial institutions, public companies, and universities in state and federal courts, including the United States Supreme Court.
Peggy is a graduate of Yale College and Yale Law School, where she was awarded the Potter Stewart Prize. She was a law clerk to the Hon. Ralph K. Winter on the U.S. Court of Appeals for the Second Circuit. Prior to starting her own trial and appellate law firm in 1997, where she was appellate consulting counsel to the New Haven firefighters in Ricci v.DeStefano, a landmark 2009 United States Supreme Court decision, Peggy was a partner at Tyler, Cooper & Alcorn in New Haven, Connecticut. From 2004 to early 2018, Peggy directed, part-time, the Federalist Society Pro Bono Center.
Peggy has participated in many national conferences and symposia addressing issues of current importance in constitutional law – specifically state and federal constitutional questions regarding the separation of powers and the first amendment – and regularly speaks, blogs and publishes on the topic of the unconstitutional exercise of governmental power. In May of 2017, she presented her paper, Pirates at the Parchment Gates, to a conference of state and federal judges at the Law and Economics Center at the Antonin Scalia Law School. Her work has been published by law reviews, legal publications, the Federalist Society, the Wall Street Journal, Law and Liberty and the Manhattan Institute.
Recent publications include: How the SEC silences its critics, The SEC should listen to Sen. Cotton, Lucia v. SEC, Opening Salvos in the Opioid Litigation Wars, Straight Dope on the Opioid Crisis
Executive Director, Milken Institute Center for Financial Markets
Michael S. Piwowar is the executive director of the Milken Institute Center for Financial Markets. Dr. Piwowar served as a Commissioner at the U.S. Securities and Exchange Commission from August 15, 2013 to July 6, 2018. He was first appointed to the SEC by President Barack Obama and was designated Acting Chairman of the Commission by President Donald Trump from January 23, 2017 to May 4, 2017. He was previously the Republican chief economist for the U.S. Senate Committee on Banking, Housing, and Urban Affairs under Senators Mike Crapo (R-ID) and Richard Shelby (R-AL) and served as the lead Republican economist on the four SEC-related titles of the Dodd-Frank Act and the JOBS Act. During the financial crisis and its immediate aftermath, Dr. Piwowar served in a one-year fixed-term position at the White House as a senior economist at the President’s Council of Economic Advisers (CEA) in both the George W. Bush and Barack Obama Administrations. Before joining the White House, Dr. Piwowar worked as a Principal at the Securities Litigation and Consulting Group (SLCG). He received a B.A. in Foreign Service and International Politics from the Pennsylvania State University, an M.B.A. from Georgetown University, and a Ph.D. in Finance from the Pennsylvania State University.
Vice President, Special Advisor for Proxy & Corporate Actions, Broadridge
As a key proxy and corporate actions expert, Larry focuses on creating new ways to create value for clients within the Broadridge network globally and bring a valuable client perspective to Broadridge’s product and service evolution. He also drives and supports key industry initiatives such as end-to-end confirmation for proxy contests.
With more than 25 years in financial services, Larry brings extensive expertise from Fidelity Investments, where he was formerly the Vice President for the Operations and Services Group. In this role, Larry had product and business management responsibilities for the Asset Services Division, which included domestic and global Corporate Actions and Proxy. Larry has also led and participated in several industry working and advisory groups focused on evaluating legislative and regulatory changes as well as driving industry best practices.
Mr. Conover earned a Bachelor’s degree in Economics and Finance from Rutgers University, and an MBA/MIS degree from St Peter’s University. Mr. Conover holds Series 7 and 24 licenses and completed the Securities Industry Institute program at the Wharton School of the University of Pennsylvania.
Former Managing Director, BlackRock Inc.
Joanne Medero was until July 2020 a Managing Director at BlackRock where she was member of their Global Public Policy Group and a Senior Advisor to the Vice Chairman on the intersection of public policy and corporate governance. In June 2021, Ms. Medero was appointed a director/trustee of the Nuveen Funds.
Ms. Medero's service with BlackRock dates back to 1996, including her years with Barclays Global Investors (BGI), which merged with BlackRock in 2009. She joined BGI as its Global General Counsel in 1996 and after more than ten years in that role, became the global head of Government Relations and Public Policy for Barclays’ investment banking and investment management businesses. Prior to joining BGI, Ms. Medero was a partner with Orrick, Herrington and Sutcliffe specializing in derivatives and market regulation issues. Ms. Medero also served as general counsel of the Commodity Futures Trading Commission (1989-1993) and as an associate director for legal and financial affairs at the Office of Presidential Personnel, The White House (1986-1989).
Ms. Medero is a graduate of St. Lawrence University and received her JD from George Washington University.
Founder, Paredes Strategies LLC
Troy A. Paredes is the founder of Paredes Strategies LLC. From 2008-2013, Mr. Paredes was a Commissioner of the U.S. Securities and Exchange Commission, having been appointed by President George W. Bush. At the SEC, Mr. Paredes was a strong advocate for small business and the JOBS Act, for solving the information overload problem of securities law disclosure, and for rigorous cost-benefit analysis. He also consistently expressed concerns about the overregulation and overreach of the Dodd-Frank Act. Since leaving government, Mr. Paredes has had an active consulting practice. Mr. Paredes advises on financial regulation, corporate governance, compliance, and governmental and regulatory affairs. He also serves as an expert and adviser in regulatory enforcement investigations and actions and in private litigation involving securities law and corporate law, and he has been an independent compliance consultant/monitor. Before becoming an SEC Commissioner, Mr. Paredes was a professor of law at Washington University in St. Louis and a professor of business (by courtesy) at Washington University’s Olin Business School. Currently, he is the Distinguished Policy Fellow and Lecturer at the University of Pennsylvania Law School and a Lecturer on Law at Harvard Law School. Next year he will be a Distinguished Scholar in Residence at NYU School of Law. Mr. Paredes is the author of numerous academic articles on financial regulation, corporate governance, innovation, and behavioral economics. He also is a co-author (beginning with the 4th edition) of a multi-volume securities regulation treatise with Louis Loss and Joel Seligman entitled Securities Regulation. Mr. Paredes serves on the board of directors of Electronifie Inc. and is a member of the board of advisors of StreetShares, Inc. Mr. Paredes holds a bachelor’s degree in economics from UC Berkeley and earned his J.D. from Yale Law School.
Deputy General Counsel, Investment Company Institute
Matthew Thornton is Deputy General Counsel for the Investment Company Institute, with responsibility for a wide range of legal issues affecting registered investment companies and investment advisers. Mr. Thornton’s primary areas of responsibility include liquidity, valuation, corporate governance and proxy voting, advertising/social media, issues related to fixed income, disclosure, and investment advisory matters. Before joining ICI in 2014, he was an associate in Dechert LLP’s financial services group from 2005 to 2014. Before practicing law, Mr. Thornton held positions in the financial services industry at SunTrust Banks (now Truist) from 1998 to 2005 and Merrill Lynch from 1997 to 1998. Mr. Thornton is a member of the Washington, D.C. and Maryland bars and a Certified Financial Planner™. He received his BA in economics from the University of Notre Dame and his JD from Georgetown University Law Center.
Vice President, Special Advisor for Proxy & Corporate Actions, Broadridge
As a key proxy and corporate actions expert, Larry focuses on creating new ways to create value for clients within the Broadridge network globally and bring a valuable client perspective to Broadridge’s product and service evolution. He also drives and supports key industry initiatives such as end-to-end confirmation for proxy contests.
With more than 25 years in financial services, Larry brings extensive expertise from Fidelity Investments, where he was formerly the Vice President for the Operations and Services Group. In this role, Larry had product and business management responsibilities for the Asset Services Division, which included domestic and global Corporate Actions and Proxy. Larry has also led and participated in several industry working and advisory groups focused on evaluating legislative and regulatory changes as well as driving industry best practices.
Mr. Conover earned a Bachelor’s degree in Economics and Finance from Rutgers University, and an MBA/MIS degree from St Peter’s University. Mr. Conover holds Series 7 and 24 licenses and completed the Securities Industry Institute program at the Wharton School of the University of Pennsylvania.
Former Managing Director, BlackRock Inc.
Joanne Medero was until July 2020 a Managing Director at BlackRock where she was member of their Global Public Policy Group and a Senior Advisor to the Vice Chairman on the intersection of public policy and corporate governance. In June 2021, Ms. Medero was appointed a director/trustee of the Nuveen Funds.
Ms. Medero's service with BlackRock dates back to 1996, including her years with Barclays Global Investors (BGI), which merged with BlackRock in 2009. She joined BGI as its Global General Counsel in 1996 and after more than ten years in that role, became the global head of Government Relations and Public Policy for Barclays’ investment banking and investment management businesses. Prior to joining BGI, Ms. Medero was a partner with Orrick, Herrington and Sutcliffe specializing in derivatives and market regulation issues. Ms. Medero also served as general counsel of the Commodity Futures Trading Commission (1989-1993) and as an associate director for legal and financial affairs at the Office of Presidential Personnel, The White House (1986-1989).
Ms. Medero is a graduate of St. Lawrence University and received her JD from George Washington University.
Founder, Paredes Strategies LLC
Troy A. Paredes is the founder of Paredes Strategies LLC. From 2008-2013, Mr. Paredes was a Commissioner of the U.S. Securities and Exchange Commission, having been appointed by President George W. Bush. At the SEC, Mr. Paredes was a strong advocate for small business and the JOBS Act, for solving the information overload problem of securities law disclosure, and for rigorous cost-benefit analysis. He also consistently expressed concerns about the overregulation and overreach of the Dodd-Frank Act. Since leaving government, Mr. Paredes has had an active consulting practice. Mr. Paredes advises on financial regulation, corporate governance, compliance, and governmental and regulatory affairs. He also serves as an expert and adviser in regulatory enforcement investigations and actions and in private litigation involving securities law and corporate law, and he has been an independent compliance consultant/monitor. Before becoming an SEC Commissioner, Mr. Paredes was a professor of law at Washington University in St. Louis and a professor of business (by courtesy) at Washington University’s Olin Business School. Currently, he is the Distinguished Policy Fellow and Lecturer at the University of Pennsylvania Law School and a Lecturer on Law at Harvard Law School. Next year he will be a Distinguished Scholar in Residence at NYU School of Law. Mr. Paredes is the author of numerous academic articles on financial regulation, corporate governance, innovation, and behavioral economics. He also is a co-author (beginning with the 4th edition) of a multi-volume securities regulation treatise with Louis Loss and Joel Seligman entitled Securities Regulation. Mr. Paredes serves on the board of directors of Electronifie Inc. and is a member of the board of advisors of StreetShares, Inc. Mr. Paredes holds a bachelor’s degree in economics from UC Berkeley and earned his J.D. from Yale Law School.
Deputy General Counsel, Investment Company Institute
Matthew Thornton is Deputy General Counsel for the Investment Company Institute, with responsibility for a wide range of legal issues affecting registered investment companies and investment advisers. Mr. Thornton’s primary areas of responsibility include liquidity, valuation, corporate governance and proxy voting, advertising/social media, issues related to fixed income, disclosure, and investment advisory matters. Before joining ICI in 2014, he was an associate in Dechert LLP’s financial services group from 2005 to 2014. Before practicing law, Mr. Thornton held positions in the financial services industry at SunTrust Banks (now Truist) from 1998 to 2005 and Merrill Lynch from 1997 to 1998. Mr. Thornton is a member of the Washington, D.C. and Maryland bars and a Certified Financial Planner™. He received his BA in economics from the University of Notre Dame and his JD from Georgetown University Law Center.
Partner, Vinson & Elkins LLP
Fry Wernick is a Chambers-rated lawyer and former federal prosecutor who serves as a partner in the Government Investigations and White Collar Practice Group in the firm’s Washington, D.C. and Dallas offices.
As a former federal prosecutor and supervisor of the U.S. Department of Justice’s Criminal Fraud Section with experience as lead attorney in over 30 trials, Fry has a broad range of white collar enforcement and courtroom experience. Fry regularly conducts internal investigations and defends companies and individuals against government investigations into a broad range of conduct and he has specific experience prosecuting and defending cases involving the Foreign Corrupt Practices Act (FCPA), anti-money laundering (AML) statutes, the Bank Secrecy Act (BSA), the False Claims Act (FCA), sanctions, campaign finance laws, and other fraud, consumer protection and corruption-related offenses. Fry also has extensive experience representing clients and appearing before numerous alphabet agencies, including the Department of Justice (DOJ), the Securities and Exchange Commission (SEC), the Consumer Financial Protection Bureau (CFPB), the New York Department of Financial Services (DFS), the Federal Trade Commission (FTC), the Department of Treasury Office of Foreign Assets Control (OFAC), the Department of Commerce Bureau of Industry and Security (BIS), the Commodity Futures Trading Commission (CFTC), Department of Education (ED) and other regulators and investigative bodies. Fry also draws on his experience as a former counsel to the U.S. Senate Permanent Subcommittee on Investigations and the U.S. Senate Committee on the Judiciary to help prepare and defend companies and individuals facing inquiries and investigations by Congress.
An important part of Fry’s practice is advising publicly traded and privately held companies on transactional risk, particularly concerning business transactions in emerging markets, and he helps companies develop effective compliance programs. Fry also understands all aspects of crisis management, and he draws on his extensive experience to tailor and coordinate sophisticated responses to investigations and inquiries from governmental, legislative and media sources in order to minimize the potential for legal and reputational risk for his clients.
As a former supervisor in DOJ’s FCPA Unit, Fry is one of the few former federal prosecutors who has actually prosecuted violations of the FCPA, and he has keen insight into how the Department of Justice prioritizes and investigates cases involving alleged violations of the FCPA and other white collar crimes. At DOJ, Fry led and supervised dozens of the Department’s most high-profile cases, including six of the largest-ever FCPA corporate criminal resolutions and dozens of individual prosecutions. Fry has extensive experience negotiating corporate settlements. including DPAs, NPAs and declinations under the recent revisions to the Department’s Corporate Enforcement Policy. In addition, Fry has conducted multiple cross-border criminal investigations and coordinated resolutions with multiple foreign and domestic government authorities, and he has developed an advanced understanding of how foreign regulators enforce the U.K. Bribery Act, the French Sapin II, and other anti-bribery laws.
Fry is a thought leader on the FCPA and white collar matters and he is frequently published and quoted in the press, including recently by the Financial Times, Wall Street Journal, Bloomberg, Law 360, Global Investigations Review, The Anti-Corruption Report, The FCPA Professor, Energy Voice and other publications. Fry also has been recognized by Chambers USA, Legal 500, Lawdragon 500 and Who’s Who Legal for his investigations and white collar practice, and Law360 named Fry a “2021 Compliance MVP.”
In 2022, Fry took over as the firm’s Pro Bono Partner where he helps manage Vinson & Elkins’ firmwide pro bono program.
Partner, Jones Day
Brian Rabbitt is a litigator with extensive experience handling complex investigations, enforcement matters, civil litigation, and appellate matters at the highest levels of government. He represents clients in high-stakes matters involving the Department of Justice (DOJ), Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Congress, and state attorneys general, as well as in internal investigations. Brian has been recognized as a leading white collar and investigations lawyer by Law360, The National Law Journal, and Chambers USA, which describes him as "smart, practical, and [having] great judgment."
Prior to joining Jones Day, Brian was the Acting Assistant Attorney General for the DOJ's Criminal Division, where he led hundreds of prosecutors responsible for investigating and prosecuting white collar cases (including securities, commodities, and health care fraud), Foreign Corrupt Practices Act (FCPA) violations, and money laundering (AML), public corruption, computer crime, intellectual property, and Bank Secrecy Act (BSA) matters. Under Brian's leadership, the Criminal Division resolved several of the most significant corporate criminal matters in DOJ history; prosecuted billions of dollars in health care fraud; and led the government's response to COVID-19-related stimulus fraud.
Before heading the Criminal Division, Brian served as Chief of Staff to the Attorney General at DOJ, in senior enforcement and policy roles at the SEC, and in the White House Counsel's Office, where he advised on investigations, congressional oversight, and financial regulatory policy. Brian began his career at a leading Washington law firm, where his practice focused on complex civil litigation and government investigations and enforcement matters.
Partner, Foley & Lardner LLP
Patrick Daugherty is a senior corporate and securities law partner of Foley & Lardner LLP, based in Chicago. He also is an adjunct professor of Cornell Law School, where he teaches in residence each Fall Term.
Mr. Daugherty is a member of the Bar in New York, the District of Columbia, North Carolina, Michigan and Illinois. Credentialing organizations have named him “Lawyer of the Year” in both Michigan (2007) and Illinois (2022). A graduate of Northwestern University and of Cornell Law School (Class of 1981), he clerked for SDNY Chief Judge Lloyd F. MacMahon for a year before entering private practice. Mr. Daugherty also served as Counsel to SEC Commissioner Edward H. Fleischman in Washington, D.C., from 1986 to 1989. An Emeritus Member of the American Law Institute, he is the author, co-author or editor of several books and many articles on securities regulation and new financial products.
Mr. Daugherty believes that he was the first lawyer inside the SEC to join the Federalist Society when he became a member in the late 1980s. A mainstay of the Chicago Lawyers Chapter, at the national level of the Society he serves on the Executive Committee for the Financial Services & E-Commerce Practice Group.
Head of Policy & General Counsel, Crypto, Andreessen Horowitz (a16z)
Miles Jennings joined the a16z Crypto team as General Counsel in August 2021.
Miles was most recently a partner at Latham & Watkins, where he focused on working with startups and investors in heavily regulated sectors including life sciences and, most importantly, crypto. He has been the go-to, trusted advisor for countless startups and crypto projects, guiding them from incorporation through financings, acquisitions, token offerings, and governance matters.
Miles’ experience within the sector stretches back to 2017, when he first began working with ConsenSys, a firm client, and he quickly became one of the most sought-after legal minds working in crypto. During his time at Latham, he co-chaired its global blockchain and cryptocurrency task force, which was composed of over 80 lawyers around the globe. In addition, he worked regularly with almost every venture firm operating in crypto, designing several of the investment structures they use today, and he was counsel to dozens of startups in the sector, including Aave, Bitwise, Avalanche, Element, Idle, Connext, 3Box, and Aztec. Miles was also an editor of Latham’s Global Fintech & Payments blog and has published several articles relating to legal matters relevant to crypto startups.
Partner, Norton Rose Fulbright
Steven Lofchie advises financial institutions on regulatory issues and financial instruments.
In his regulatory practice, Steven counsels clients on securities laws, the CEA, and related bankruptcy issues. His transactional practice focuses on securities credit and derivative transactions.
Steven is the founder and manager of an acclaimed legal website (now renamed Fried Frank Regulatory Intelligence) that has been endorsed by former chairpersons of both the SEC and CFTC. Subscribers to the website include government regulators and major buy- and sell-side firms.
Chambers USA has ranked Steven in Band 1 for eight years running, for both financial services regulation and derivatives. He is the only lawyer in the country to be top-ranked in both of those categories. Steven was also part of the team that was named 2020 Regulatory Team of the Year by IFLR Americas. The Best Lawyers in America recognized Steven as “Lawyer of the Year” for Administrative/Regulatory Law in New York in 2017, and U.S. News and World Report ranked him as the best regulatory lawyer in New York for 2014. In 2012, a derivatives transaction developed by Steven was cited as the best international structured product of the year by International Financial Law Review.
General Counsel, Ava Labs
Lee Schneider serves as General Counsel for Ava Labs, a leading blockchain software company. Mr. Schneider is responsible for all aspects of the legal function as well as the company’s government affairs initiatives.
As an early lawyer in the financial services and technology space (FinTech) and a leading voice in blockchain law and policy, Mr. Schneider has been involved in many significant projects in FinTech and blockchain, including some of the largest and most popular token sales. He also co-hosts a FinTech podcast with former SEC Commissioner Troy Paredes, available on iTunes and other podcast services.
Prior to Ava Labs, Mr. Schneider served as General Counsel of block.one and as a practice leader at two major US law firms. Mr. Schneider has a B.A. from the University of Michigan and a J.D. from the American University Washington College of Law (’91).
Head of Legal for the Americas, Crypto.com
Justin is Head of Legal for the Americas at Crypto.com where he leads the company's North and South American legal and regulatory strategy. Prior to joining Crypto.com, he was a partner with the international law firm of K&L Gates where his practice focused on the rapidly evolving legal and regulatory issues impacting decentralized technologies including cryptocurrencies, decentralized financial (DeFi) platforms, smart contracts, non-fungible tokens (NFTs) and other related concepts.
Partner and Co-Chair of Securities & Regulatory Enforcement, Stradley Ronon
As a former supervisory assistant chief litigation counsel in the Enforcement Division of the U.S. Securities and Exchange Commission (SEC), Jan Folena has led and successfully litigated many of the financial service industry’s most complex and high-profile cases. She has appeared in federal courts across the United States as lead trial counsel, handling issues at the forefront of the securities industry, including in one of only a few financial fraud jury trials, a highly publicized insider trading trial, and an enforcement action against the Big Four accounting firms.
As co-chair of Stradley Ronon’s securities and regulatory enforcement practice, Jan focuses her practice on assisting firms and individuals in navigating internal investigations, regulatory enforcement matters, commercial disputes and, when necessary, arbitration, mediation and trial. She regularly advises asset managers, broker-dealers, registered and private funds, public companies, officers, directors, principals and auditors on complex matters involving enforcement of federal and state securities laws, including regulatory examinations, internal investigations and litigation. Jan also represents clients in congressional inquiries, before state regulators, and in third-party litigation.
In her previous supervisory role at the SEC, Jan managed a team of trial lawyers and investigative staff while providing legal guidance and litigation risk assessment to the commission and SEC division heads. Jan was selected to serve as the first assistant chief litigation counsel to the SEC’s Asset Management Unit providing legal advice and serving as litigation counsel for cases brought under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Prior to joining the SEC, Jan served as chief trial counsel at the Commodity Futures Trading Commission and as trial counsel at the U.S. Department of Justice, Commercial Litigation Branch.
Jan’s expansive government career serves as the foundation for her substantial insights and firsthand knowledge into industry best practices and solutions for clients. She is frequently sought after for her sophisticated knowledge and understanding of federal securities laws, administrative procedure, federal and state court litigation, and enforcement actions at the SEC and other regulatory agencies.
Senior Litigation Counsel, New Civil Liberties Alliance
Peggy Little, Senior Counsel at New Civil Liberties Alliance, a new public interest law firm challenging the administrative state founded in 2017 by Professor Philip Hamburger, has over three decades of experience as a trial and appellate litigator in complex, high-stakes regulatory, mass-tort, class-action, products liability, securities, commercial and civil rights litigation representing individuals and high-profile litigants including Fortune 50 companies, financial institutions, public companies, and universities in state and federal courts, including the United States Supreme Court.
Peggy is a graduate of Yale College and Yale Law School, where she was awarded the Potter Stewart Prize. She was a law clerk to the Hon. Ralph K. Winter on the U.S. Court of Appeals for the Second Circuit. Prior to starting her own trial and appellate law firm in 1997, where she was appellate consulting counsel to the New Haven firefighters in Ricci v.DeStefano, a landmark 2009 United States Supreme Court decision, Peggy was a partner at Tyler, Cooper & Alcorn in New Haven, Connecticut. From 2004 to early 2018, Peggy directed, part-time, the Federalist Society Pro Bono Center.
Peggy has participated in many national conferences and symposia addressing issues of current importance in constitutional law – specifically state and federal constitutional questions regarding the separation of powers and the first amendment – and regularly speaks, blogs and publishes on the topic of the unconstitutional exercise of governmental power. In May of 2017, she presented her paper, Pirates at the Parchment Gates, to a conference of state and federal judges at the Law and Economics Center at the Antonin Scalia Law School. Her work has been published by law reviews, legal publications, the Federalist Society, the Wall Street Journal, Law and Liberty and the Manhattan Institute.
Recent publications include: How the SEC silences its critics, The SEC should listen to Sen. Cotton, Lucia v. SEC, Opening Salvos in the Opioid Litigation Wars, Straight Dope on the Opioid Crisis
Executive Director, Milken Institute Center for Financial Markets
Michael S. Piwowar is the executive director of the Milken Institute Center for Financial Markets. Dr. Piwowar served as a Commissioner at the U.S. Securities and Exchange Commission from August 15, 2013 to July 6, 2018. He was first appointed to the SEC by President Barack Obama and was designated Acting Chairman of the Commission by President Donald Trump from January 23, 2017 to May 4, 2017. He was previously the Republican chief economist for the U.S. Senate Committee on Banking, Housing, and Urban Affairs under Senators Mike Crapo (R-ID) and Richard Shelby (R-AL) and served as the lead Republican economist on the four SEC-related titles of the Dodd-Frank Act and the JOBS Act. During the financial crisis and its immediate aftermath, Dr. Piwowar served in a one-year fixed-term position at the White House as a senior economist at the President’s Council of Economic Advisers (CEA) in both the George W. Bush and Barack Obama Administrations. Before joining the White House, Dr. Piwowar worked as a Principal at the Securities Litigation and Consulting Group (SLCG). He received a B.A. in Foreign Service and International Politics from the Pennsylvania State University, an M.B.A. from Georgetown University, and a Ph.D. in Finance from the Pennsylvania State University.
Vice President, Special Advisor for Proxy & Corporate Actions, Broadridge
As a key proxy and corporate actions expert, Larry focuses on creating new ways to create value for clients within the Broadridge network globally and bring a valuable client perspective to Broadridge’s product and service evolution. He also drives and supports key industry initiatives such as end-to-end confirmation for proxy contests.
With more than 25 years in financial services, Larry brings extensive expertise from Fidelity Investments, where he was formerly the Vice President for the Operations and Services Group. In this role, Larry had product and business management responsibilities for the Asset Services Division, which included domestic and global Corporate Actions and Proxy. Larry has also led and participated in several industry working and advisory groups focused on evaluating legislative and regulatory changes as well as driving industry best practices.
Mr. Conover earned a Bachelor’s degree in Economics and Finance from Rutgers University, and an MBA/MIS degree from St Peter’s University. Mr. Conover holds Series 7 and 24 licenses and completed the Securities Industry Institute program at the Wharton School of the University of Pennsylvania.
Former Managing Director, BlackRock Inc.
Joanne Medero was until July 2020 a Managing Director at BlackRock where she was member of their Global Public Policy Group and a Senior Advisor to the Vice Chairman on the intersection of public policy and corporate governance. In June 2021, Ms. Medero was appointed a director/trustee of the Nuveen Funds.
Ms. Medero's service with BlackRock dates back to 1996, including her years with Barclays Global Investors (BGI), which merged with BlackRock in 2009. She joined BGI as its Global General Counsel in 1996 and after more than ten years in that role, became the global head of Government Relations and Public Policy for Barclays’ investment banking and investment management businesses. Prior to joining BGI, Ms. Medero was a partner with Orrick, Herrington and Sutcliffe specializing in derivatives and market regulation issues. Ms. Medero also served as general counsel of the Commodity Futures Trading Commission (1989-1993) and as an associate director for legal and financial affairs at the Office of Presidential Personnel, The White House (1986-1989).
Ms. Medero is a graduate of St. Lawrence University and received her JD from George Washington University.
Founder, Paredes Strategies LLC
Troy A. Paredes is the founder of Paredes Strategies LLC. From 2008-2013, Mr. Paredes was a Commissioner of the U.S. Securities and Exchange Commission, having been appointed by President George W. Bush. At the SEC, Mr. Paredes was a strong advocate for small business and the JOBS Act, for solving the information overload problem of securities law disclosure, and for rigorous cost-benefit analysis. He also consistently expressed concerns about the overregulation and overreach of the Dodd-Frank Act. Since leaving government, Mr. Paredes has had an active consulting practice. Mr. Paredes advises on financial regulation, corporate governance, compliance, and governmental and regulatory affairs. He also serves as an expert and adviser in regulatory enforcement investigations and actions and in private litigation involving securities law and corporate law, and he has been an independent compliance consultant/monitor. Before becoming an SEC Commissioner, Mr. Paredes was a professor of law at Washington University in St. Louis and a professor of business (by courtesy) at Washington University’s Olin Business School. Currently, he is the Distinguished Policy Fellow and Lecturer at the University of Pennsylvania Law School and a Lecturer on Law at Harvard Law School. Next year he will be a Distinguished Scholar in Residence at NYU School of Law. Mr. Paredes is the author of numerous academic articles on financial regulation, corporate governance, innovation, and behavioral economics. He also is a co-author (beginning with the 4th edition) of a multi-volume securities regulation treatise with Louis Loss and Joel Seligman entitled Securities Regulation. Mr. Paredes serves on the board of directors of Electronifie Inc. and is a member of the board of advisors of StreetShares, Inc. Mr. Paredes holds a bachelor’s degree in economics from UC Berkeley and earned his J.D. from Yale Law School.
Deputy General Counsel, Investment Company Institute
Matthew Thornton is Deputy General Counsel for the Investment Company Institute, with responsibility for a wide range of legal issues affecting registered investment companies and investment advisers. Mr. Thornton’s primary areas of responsibility include liquidity, valuation, corporate governance and proxy voting, advertising/social media, issues related to fixed income, disclosure, and investment advisory matters. Before joining ICI in 2014, he was an associate in Dechert LLP’s financial services group from 2005 to 2014. Before practicing law, Mr. Thornton held positions in the financial services industry at SunTrust Banks (now Truist) from 1998 to 2005 and Merrill Lynch from 1997 to 1998. Mr. Thornton is a member of the Washington, D.C. and Maryland bars and a Certified Financial Planner™. He received his BA in economics from the University of Notre Dame and his JD from Georgetown University Law Center.
Partner, Vinson & Elkins LLP
Fry Wernick is a Chambers-rated lawyer and former federal prosecutor who serves as a partner in the Government Investigations and White Collar Practice Group in the firm’s Washington, D.C. and Dallas offices.
As a former federal prosecutor and supervisor of the U.S. Department of Justice’s Criminal Fraud Section with experience as lead attorney in over 30 trials, Fry has a broad range of white collar enforcement and courtroom experience. Fry regularly conducts internal investigations and defends companies and individuals against government investigations into a broad range of conduct and he has specific experience prosecuting and defending cases involving the Foreign Corrupt Practices Act (FCPA), anti-money laundering (AML) statutes, the Bank Secrecy Act (BSA), the False Claims Act (FCA), sanctions, campaign finance laws, and other fraud, consumer protection and corruption-related offenses. Fry also has extensive experience representing clients and appearing before numerous alphabet agencies, including the Department of Justice (DOJ), the Securities and Exchange Commission (SEC), the Consumer Financial Protection Bureau (CFPB), the New York Department of Financial Services (DFS), the Federal Trade Commission (FTC), the Department of Treasury Office of Foreign Assets Control (OFAC), the Department of Commerce Bureau of Industry and Security (BIS), the Commodity Futures Trading Commission (CFTC), Department of Education (ED) and other regulators and investigative bodies. Fry also draws on his experience as a former counsel to the U.S. Senate Permanent Subcommittee on Investigations and the U.S. Senate Committee on the Judiciary to help prepare and defend companies and individuals facing inquiries and investigations by Congress.
An important part of Fry’s practice is advising publicly traded and privately held companies on transactional risk, particularly concerning business transactions in emerging markets, and he helps companies develop effective compliance programs. Fry also understands all aspects of crisis management, and he draws on his extensive experience to tailor and coordinate sophisticated responses to investigations and inquiries from governmental, legislative and media sources in order to minimize the potential for legal and reputational risk for his clients.
As a former supervisor in DOJ’s FCPA Unit, Fry is one of the few former federal prosecutors who has actually prosecuted violations of the FCPA, and he has keen insight into how the Department of Justice prioritizes and investigates cases involving alleged violations of the FCPA and other white collar crimes. At DOJ, Fry led and supervised dozens of the Department’s most high-profile cases, including six of the largest-ever FCPA corporate criminal resolutions and dozens of individual prosecutions. Fry has extensive experience negotiating corporate settlements. including DPAs, NPAs and declinations under the recent revisions to the Department’s Corporate Enforcement Policy. In addition, Fry has conducted multiple cross-border criminal investigations and coordinated resolutions with multiple foreign and domestic government authorities, and he has developed an advanced understanding of how foreign regulators enforce the U.K. Bribery Act, the French Sapin II, and other anti-bribery laws.
Fry is a thought leader on the FCPA and white collar matters and he is frequently published and quoted in the press, including recently by the Financial Times, Wall Street Journal, Bloomberg, Law 360, Global Investigations Review, The Anti-Corruption Report, The FCPA Professor, Energy Voice and other publications. Fry also has been recognized by Chambers USA, Legal 500, Lawdragon 500 and Who’s Who Legal for his investigations and white collar practice, and Law360 named Fry a “2021 Compliance MVP.”
In 2022, Fry took over as the firm’s Pro Bono Partner where he helps manage Vinson & Elkins’ firmwide pro bono program.
Partner, Jones Day
Brian Rabbitt is a litigator with extensive experience handling complex investigations, enforcement matters, civil litigation, and appellate matters at the highest levels of government. He represents clients in high-stakes matters involving the Department of Justice (DOJ), Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Congress, and state attorneys general, as well as in internal investigations. Brian has been recognized as a leading white collar and investigations lawyer by Law360, The National Law Journal, and Chambers USA, which describes him as "smart, practical, and [having] great judgment."
Prior to joining Jones Day, Brian was the Acting Assistant Attorney General for the DOJ's Criminal Division, where he led hundreds of prosecutors responsible for investigating and prosecuting white collar cases (including securities, commodities, and health care fraud), Foreign Corrupt Practices Act (FCPA) violations, and money laundering (AML), public corruption, computer crime, intellectual property, and Bank Secrecy Act (BSA) matters. Under Brian's leadership, the Criminal Division resolved several of the most significant corporate criminal matters in DOJ history; prosecuted billions of dollars in health care fraud; and led the government's response to COVID-19-related stimulus fraud.
Before heading the Criminal Division, Brian served as Chief of Staff to the Attorney General at DOJ, in senior enforcement and policy roles at the SEC, and in the White House Counsel's Office, where he advised on investigations, congressional oversight, and financial regulatory policy. Brian began his career at a leading Washington law firm, where his practice focused on complex civil litigation and government investigations and enforcement matters.
Loper Bright Fallout for SEC Rulemaking?
Jan Folena, Margaret A. Little, Michael Piwowar
In an unprecedented action, the SEC in July dismissed with prejudice a pending enforcement case...
Loper Bright Fallout for SEC Rulemaking?
Jan Folena, Margaret A. Little, Michael Piwowar
In an unprecedented action, the SEC in July dismissed with prejudice a pending enforcement case...
Loper Bright Fallout for SEC Rulemaking?
Salon Dinner with Staff Leads of the SEC Crypto Task Force
Washington, DCProxy Plumbing - A Primer for the Coming Policy Debate
Lawrence Conover, Joanne Medero, Troy Paredes, Matthew Thornton
The SEC has periodically examined the ecosystem governing public company shareholder communications and voting—the “proxy...
Proxy Plumbing - A Primer for the Coming Policy Debate
Lawrence Conover, Joanne Medero, Troy Paredes, Matthew Thornton
The SEC has periodically examined the ecosystem governing public company shareholder communications and voting—the “proxy...
Proxy Plumbing - A Primer for the Coming Policy Debate
FCPA & The Trump Administration: What to Expect from an America First Approach to Enforcement of Foreign Bribery Laws
Ephraim (Fry) Wernick, Brian C. Rabbitt
The Foreign Corrupt Practices Act (FCPA) prohibits foreign bribery. The law is enforced by the...
FCPA & The Trump Administration: What to Expect from an America First Approach to Enforcement of Foreign Bribery Laws
Digital Assets Market Structure Reform
Patrick Daugherty, Miles Jennings, Steven Lofchie, Lee Schneider, Justin Wales
Reforming the regulation of digital assets is a pressing issue across Congress, the Administration, the...