MFA Ops Los Angeles 2024 - Speakers

March 4, 2024 - March 6, 2024
Four Seasons Hotel Los Angeles At Beverly Hills Los Angeles, CA

Conference Speakers

Peter Altman

Partner, Akin

Peter is a highly regarded litigator and a leading name of the white collar bar. He is a go-to lawyer in the investment funds space, assisting investment management clients with respect to regulatory compliance with federal securities and commodities laws.

In the wake of the U.S. Securities and Exchange Commission (SEC)’s heightened focus on investment funds and managers, Peter has assisted numerous investment management clients on meeting new regulatory requirements, implementing compliance programs and advising on SEC enforcement investigations, all while helping to mitigate risk. Peter also regularly handles matters in California state and federal courts for investment funds and other clients.

With a cutting-edge practice, Peter is also a leader in the firm’s digital assets, cryptocurrency & blockchain group. He represents senior executives, traders and other companies in complex, multilayered investigations, including in high-profile government investigations of cryptocurrency exchanges and trading platforms, decentralized finance (DeFi) and other digital assets such as smart contracts and non-fungible tokens (NFTs).

Peter stands out as among a handful of lawyers with extensive experience handling U.S. Commodity Futures Trading Commission (CFTC) investigations, which is notable because the CFTC has jurisdiction over key aspects of the crypto ecosystem.

Prior to joining Akin, Peter served in the Division of Enforcement of the SEC’s Los Angeles Regional Office. As a result, Peter brings to bear significant public & private sector experience when representing clients in government investigations and litigation, and in providing risk and compliance counseling to investment advisory firms.

Efficient, responsive and careful, Peter understands how government agencies identify, investigate, evaluate and present cases for enforcement action. Peter’s experience serving at the SEC provides him with a deep familiarity of the federal securities laws and the processes of the SEC.

Peter routinely provides advice in investigations and enforcement proceedings involving issues such as alleged insider trading and other forms of market abuse, and disclosure-related and regulatory compliance issues. He also advises investment advisers on day-to-day risk management issues related to topics including securities trading, compliance with the Investment Advisers Act, electronic communication usage and the use of alternative data and web scraping in the investment research process.

Further, Peter is active on several Akin leadership committees, including as a member of the firm’s Partnership Admissions Committee and as chair of the Los Angeles Office Hiring Committee.

Peter is a frequent contributor to thought leadership covering the issues that are top of mind for his clients. He also co-authored the SEC Enforcement—Legal Considerations chapter in Federal Securities Exchange Act of 1934, a comprehensive treatise on the Securities Exchange Act of 1934 published by Matthew Bender.

Sudhir Anantharaman

Chief Information Security Officer
AQR Capital Management

Sudhir Anantharaman is the Chief Information Security Officer of AQR Capital Management, LLC, and oversees the information and cyber security function globally. Prior to AQR, he was a Director at Booz Allen Hamilton in that firm’s Financial Services Practice. Sudhir earned a B.S. in Engineering at the University of Illinois, a M.S. in Engineering at the University of Michigan, and an M.B.A. in Finance at the University of Chicago Booth School of Business.

Victoria Anglin

Senior Managing Associate, Sidley

VICTORIA ANGLIN advises and represents clients in securities, derivatives and futures-related regulatory and corporate matters, including hedge funds, commodity pools and securities, futures, and derivatives trading. Her practice focuses on securities and futures-related regulatory and compliance matters as well as the organization and operation of private investment funds. Victoria is a member of SidleyWomen.

Victoria graduated cum laude from Georgetown University Law Center in 2016 where she was the executive articles editor of the Georgetown Law Journal. Victoria graduated cum laude from the University of Notre Dame with B.A. degrees in Political Science and Peace Studies.

Prior to joining Sidley, Victoria was a Graduate Public Interest Law Initiative (PILI) fellow at Catholic Charities Legal Assistance.


Victoria advises clients with respect to various regulatory and compliance matters including:

  • Registering advisers with the SEC and CFTC
  • Developing compliance programs and codes of ethics
  • Assisting with ongoing compliance obligations
  • Advising investment advisers undergoing SEC examinations
  • Reviewing investor communications and marketing materials
  • Preparing regulatory filings


  • Co-author, “U.S. SEC Division of Exams Announces 2024 Examination Priorities,” Sidley Update, October 26, 2023.
  • Co-author, “2023 Fiscal Year in Review: SEC Enforcement Actions Against Investment Advisers to Private Funds, Registered Funds, and Retail Clients,” Sidley Update, October 17, 2023.
  • Co-author, “SEC Adopts Significant Form PF Amendments,” Sidley Update, May 25, 2023.
  • Co-author, “SEC EXAMS Staff Publishes New Observations From Private Fund Adviser Examinations,” Sidley Update, February 1, 2022.
  • Co-author, “2021 Update for Investment Advisers Important Annual Requirements; 2021 SEC Exam Priorities; Recent SEC Enforcement Initiatives,” Sidley Update, March 4, 2021.
  • Co-author, “SEC Adopts New Investment Adviser Marketing Rule,” Sidley Update, January 4, 2021.
  • Co-author, “Observations on OCIE’s Risk Alert for COVID-19 Compliance Risks and Considerations,” Sidley Update, August 24, 2020.
  • Co-author, “COVID-19: Consolidated U.S. Investment Management Update,” Sidley Update, May 4, 2020.
  • Co-author, “Update: Form ADV and Form PF Conditional Relief,” Sidley Update, March 26, 2020.
  • Co-author, “SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers,” Sidley Update, January 17, 2020.
  • Co-author, “CFTC Proposes Rules to Simplify Process for Non-U.S. Clearing Organizations to Obtain DCO Registration Exemption,” Sidley Update, August 23, 2018.
  • Co-author, “CFTC Issues Aggregation Exemption Notice Filing Relief,” Sidley Update, August 11, 2017.
  • Co-author, “CFTC and Exchanges Amend Aggregation Rules, Which May Trigger Filing Obligations and Present Issues for Fund Managers,” Sidley Update, July 26, 2017.

Admissions & Certifications

  • California
  • Illinois


  • Georgetown University Law Center (J.D., 2016, cum laude)
  • University of Notre Dame (B.A., 2013, cum laude)

Marty Atkinson

Vice President, Prime Services, Barclays

Marty Atkinson is a vice president on Barclays’ Prime Services team.  Located in San Francisco, he covers Barclays’ West Coast hedge fund client base in an account management and client relationship role.  Prior to Barclays, Marty spent 12 years at Credit Suisse and seven years at Goldman Sachs in similar roles within their prime services teams.  Marty is a CPA (inactive) and began his career in public accounting with Ernst & Young.

Michael B. Barry

Michael Barry

General Counsel and Chief Compliance Officer
Samlyn Capital, LLC

Michael is the General Counsel & Chief Compliance Officer at Samlyn Capital, LLC where he is responsible for all legal and compliance operations of a global equity hedge fund management firm. Prior to joining Samlyn Capital in 2009, Michael was a partner at Mintz Levin Cohn Ferris Glovsky and Popeo, P.C. in New York City from 2006 through 2009, and a corporate associate from 2000. Prior thereto, he was an associate at Skadden, Arps, Slate, Meagher and Flom LLP in New York City. Michael began his career as an associate at Whitman, Breed, Abbott & Morgan in New York City.


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Peter Bergren

Partner and Chief Financial Officer, Empyrean Capital Partners
Allison Bernbach

Allison Scher Bernbach

Partner, Schulte Roth & Zabel

Allison Scher Bernbach focuses her practice on counseling private fund advisers in navigating the increasingly complex regulatory landscape, including compliance with the requirements of the Investment Advisers Act of 1940. Allison regularly counsels private fund advisers with SEC registration, structuring their compliance programs, complex regulatory matters, SEC examinations, and advice in connection with the structuring of acquisitions of other investment managers.
Allison has more than 25 years of regulatory compliance experience servicing global, multi-strategy asset management firms, including more than 15 years of experience advising private equity sponsors, both as outside counsel and in-house.

• “SEC Division of Examinations Releases 2024 Examination Priorities – What Private Fund Managers Should Know,” Schulte Alert, Oct. 31, 2023
• “SEC Enforcement Action Scrutinizes Substantive Details of Level-3 Valuation Policies and Procedures,” Hedge Fund Law Report, June 29, 2023 (quoted)
• “SEC Marketing Rule Update: Additional Focus Areas in Examinations,” SRZ Alert, June 23, 2023
• “SEC Form PF Reporting Changes Effective Dec. 11, 2023, and June 11, 2024,” SRZ Alert, June 21, 2023
• “SEC’s Proposed Safeguarding Rule: Concerns About the Scope and Specific Items for Closed-End Fund Managers to Monitor (Part Two of Two),” Private Equity Law Report, April 6, 2023 (quoted)
• “United States Fundraising,” The Private Equity Review (Law Business Research Ltd.), 2023 (co-author)
• “The SEC’s Staff Issues a New Marketing Rule FAQ on Net Performance Requirements,” SRZ Alert, Jan. 18, 2023
• “SEC Proposes Service Provider Oversight Regime for Investment Advisers,” SRZ Alert, Nov. 11, 2022
• “Don’t Take Chances When it Comes to Pay-to-Play,” Private Funds CFO, Oct. 6, 2022 (quoted)
• “SEC Pay-to-Play Rule Update: Recent SEC Enforcement Activity and What It Means for the November Midterms,” SRZ Alert, Sept. 21, 2022
• “SEC Marketing Rule Update: What Private Fund Advisers Should Be Thinking About as the November 4 Compliance Date Approaches,” SRZ Alert, Sept. 20, 2022
• “SEC Custody Rule Update: Takeaways from Recent Enforcement,” SRZ Alert, Sept. 19, 2022
Speaking Engagements
• “Marketing Rule Update,” SRZ 32nd Annual Private Investment Funds Seminar, January 2023
• Moderator, “Preparing for Regulatory Examinations,” MFA Legal & Compliance London, October 2022

• New York City Bar Association
• Private Investment Funds Committee
Prior Experience
• Simpson Thacher & Bartlett LLP
• CCMP Capital Advisors, LLC
• Oak Hill Capital Management
• Fischer Frances Trees and Watts
• Alliance Capital Management
• Seward & Kissel LLP
Bar Admissions
• New York
• New York University School of Law, J.D., 1996
• Binghamton University, State University of New York, B.A., 1993

Matthew Bogart

Matthew Bogart

General Counsel, AB Carval Investors

Mr. Bogart is the general counsel for AB Carval Investors. He oversees all of Carval’s legal and compliance matters across the globe. Prior to joining AB CarVal in 2007, Mr. Bogart was a partner at Faegre & Benson in Minneapolis where he practiced for 16 years, specializing in real estate, finance and joint venture law. He received his J.D. from the University of Iowa College of Law, graduating with highest honors, and his B.S. degree in marketing and accounting from the University of Colorado.

AB CarVal is an established global alternative investment fund manager focused on distressed and credit-intensive assets and market inefficiencies. Since 1987, AB CarVal’s experienced team has navigated through ever-changing credit market cycles, opportunistically investing $142 billion in 5,675 transactions across 82 countries. Today, AB CarVal has approximately $16 billion in assets under management in in corporate securities, loan portfolios, structured credit and hard assets.

Darcy Bradbury

Managing Director and Head of Public Policy, The D.E. Shaw Group

Darcy Bradbury is a managing director of D. E. Shaw & Co., L.P. and serves as Head of Public Policy for the D. E. Shaw group. In that capacity, Ms. Bradbury is responsible for managing government and regulatory affairs for the firm globally and analyzing the impact of government policies on various investments. She has more than 30 years of experience in finance in the private sector, including with The Blackstone Group L.P., Credit Suisse First Boston Corp., Bankers Trust Corp., and Mezzacappa Management, LLC, and in government, where she served as Assistant Secretary for Financial Markets in the U.S. Department of the Treasury and Deputy Comptroller for Public Finance for the City of New York.

Ms. Bradbury has held numerous leadership roles in industry organizations and currently serves on the board of the International Swaps and Derivatives Association, where she chairs the Legal & Policy Committee, and is vice chair of the Global Markets Advisory Committee of the U.S. Commodity Futures Trading Commission. She previously served on the boards of the Alternative Investment Management Association and Managed Fund Association and was a member of the Investor Advisory Committee of the U.S. Security and Exchange Commission and Municipal Securities Rulemaking Board. Ms. Bradbury is active in civic associations as the chair of the board of trustees of the Population Council, chair of the board of trustees of the Educational Alliance, and a member of the Council on Foreign Relations and The Economic Club of New York. She received an M.B.A. with honors from Harvard Business School and an A.B. in social studies, magna cum laude, from Harvard University.

Christopher Brearton

Vice President & Head of Corporate Strategy, Amazon Prime Video & Studios; Chairman, USA Swimming

Christopher Brearton serves as Vice President & Head of Corporate Strategy for Amazon Prime Video & Studios, the global content studio and video marketplace available in over 200 countries. Brearton also leads MGM Alternative, the television studio responsible for hits such as Survivor, TheVoice, Shark Tank and the upcoming James Bond 007-inspired Road to a Million.

Most recently, Brearton led the launch of MGM+, the premium global streaming service showcasing new and classic MGM films and television series, such as James Bond, Rocky, Creed, Pink Panther, Legally Blonde, Vikings, The Handmaid’s Tale and more.

Brearton was formerly the Chief Operating Officer and head of Metro Goldwyn Mayer (MGM), one of the oldest and most successful entertainment companies in the world. Brearton oversaw MGM’s global financial and business operations, as well as the legendary studio’s film and television content production and distribution strategy. Brearton led the negotiation of the sale of MGM to Amazon for $8.45billion USD in 2021.

Brearton came to MGM from the entertainment powerhouse law firm, Latham & Watkins,where he was the Founding Partner and Managing Partner of the firm’s Century City office. His tenure saw Brearton build an internationally acclaimed Entertainment, Sports, and Media practice focused on mergers and acquisitions, strategic joint ventures, complex content financing and distribution transactions, media rights licensing, and overall business and operational counseling.

For nearly twenty years, Brearton has represented MGM in several critical capacities as a lawyer and counsel to the MGM executive team, including all of MGM’s transformative activities over the last eight years, such as: MGM’s acquisition of United Artists Media Group; MGM’s acquisition and rebranding of MGM+ (formerly EPIX), which added a premier pay television network and distribution platform for MGM’s growing slate of new film and television content and robust library; the enhancement of MGM’s debt capital structure to $2.1 billion; and MGM’s joint venture with Annapurna Pictures, through which MGM began releasing its own films under the MGM banner theatrically in the U.S.

He began his career in 1992 as a certified public accountant (CPA) in the Information, Communications and Entertainment group of KPMG in Los Angeles. He earned his Juris Doctor from the University of Virginia School of Law, and his Bachelors of Business Administration from the University of Georgia, where he also competed as a collegiate varsity swimmer for the legendary US Olympic Team coach, Jack Bauerle.


Brearton now leads USA Swimming, as the chairman of the national governing body. He recently served on the FINA reform sub-committee and currently, is the chairman of the President’s Advisory Committee of Word Aquatics (formerly FINA).

Brearton has been recognized for his work with many accolades over his career, such as The Hollywood Reporter’s “Power Players,” Sports Business Journal’s “Elite” list and “Forty Under Forty”, and Variety’s “Hollywood’s Top Dealmakers,” and “Game Changing Entertainment Attorneys.” Brearton is also a member of the Academy of Television Arts & Sciences.

Daphne Chester

Partner & President, Ward Ferry Management

Daphne Chester, Partner & President, joined Ward Ferry Management in November 2013 and is responsible for the non-investment team. Prior to joining Ward Ferry, Daphne was a Portfolio Specialist at Neuberger Berman working for the Quantitative Investment Group and the Greater China Equity Team from 2010 until 2011. Before that, Daphne was an Associate in the Alternatives Advisory & Placement Group at Neuberger Berman from 2009 until 2010. Previously, Daphne was an Analyst in the Client Development Team of the Absolute Return Strategies Group of the Lehman Brothers Investment Management Division from 2007 until 2009. Daphne began her career as Investor Relations at U.S. Shipping Partners from 2005 until 2007. She graduated with an A.B. from Princeton University and an M.B.A. from the Hong Kong University of Science & Technology.

Ellen Conti

Chief Financial Officer, Sculptor Capital Management

Ellen Conti is an Executive Managing Director and Chief Financial Officer for Sculptor Capital. She is also a member of the Firm’s Partner Management Committee. In this role, Ms. Conti oversees all aspects of Accounting, Operations, Corporate Strategy, Tax, and Treasury at Sculptor Capital.

Prior to joining the Firm in 2021, Ms. Conti was Head of Corporate Strategy and Finance for Assured Investment Management, formerly BlueMountain Capital Management. She also held roles as Deputy Chief Financial Officer and within strategy and business development. Prior to Assured Investment Management, she worked at Credit Suisse within global strategy and business development for the Asset Management business.

Ms. Conti holds a Bachelor of Science in Finance and Accounting with a minor in Politics from the Leonard N. Stern School of Business at New York University.

Bryan Corbett

Bryan Corbett

President & Chief Executive Officer

Bryan Corbett is MFA’s President and CEO. He is a veteran of Washington and Wall Street. For the past 12 years, he was a senior executive at The Carlyle Group, most recently as Managing Director in the Corporate Private Equity segment and Head of the firm’s OneCarlyle Global Investment Resources Group. In this role, Mr. Corbett and his team provided strategic and operational support to investment teams and portfolio companies across segments.

For the first half of his Carlyle tenure, Mr. Corbett managed U.S. government and regulatory issues affecting Carlyle, its investments and the industry. In this role, he developed legislative and regulatory strategies relating to all of Carlyle’s business segments, including private equity, credit and real estate. In addition to serving on the boards of several Carlyle portfolio companies, Mr. Corbett started the firm’s global corporate citizenship program focused on responsible investing, published Carlyle’s inaugural corporate citizenship report, and started the firm’s initiative to recruit and place diverse individuals on portfolio company boards in the U.S.

Prior to joining Carlyle, Mr. Corbett served in the George W. Bush Administration as a Special Assistant to the President for Economic Policy and as the Senior Advisor to Deputy Secretary Robert Kimmitt at the Treasury Department. He also served as Majority Counsel on the Senate Banking Committee.

Mr. Corbett earned his JD from George Washington University Law School, where he was editor-in-chief of the George Washington Law Review, and earned his BA from University of Notre Dame.

Matthew Daigler

Vice President, Senior Counsel, Regulatory Affairs, MFA

Matthew Daigler is MFA’s Vice President, Senior Counsel, Regulatory Affairs.

In this role, Matthew analyzes the impact of legislative and regulatory developments on MFA members, works with MFA members in developing Association policy, drafts comments to regulators, oversees outside counsel/consultants, and engages directly with policymakers and regulators.

Prior to joining the MFA, Mr. Daigler was Vice President and Senior Counsel in the Office of Innovation Policy and Regulation at the American Bankers Association (ABA), where he worked with banks and policymakers to ensure that the legal and regulatory landscape supports financial innovation. Prior to working at the ABA, Mr. Daigler served as Senior Counsel in the Chairman’s Office at the U.S. Commodity Futures Trading Commission (CFTC), where he advised on domestic and international policy and legal matters relating to cryptocurrencies and the OTC derivatives and futures markets. He also previously worked as a Senior Associate at Allen & Overy LLP in Washington, D.C., where he advised financial institutions on a wide range of regulatory matters. He also worked at the U.S. Securities and Exchange Commission for nearly 10 years, most recently serving as Senior Special Counsel in the Office of Derivatives Policy, where he worked on the implementation of Title VII of the Dodd-Frank Act and derivatives regulation more generally.

Matthew has degrees from the University of Chicago (J.D.); Boston College (Ph.D.); and the University of Toronto (B.A.).

Glenn Dombrowski

Manager of Investment Administration and Reporting, University of Rochester

Peter Donovan

Executive Vice President and Managing Director, Chief Operating Officer

Peter Donovan is MFA’s Executive Vice President & Managing Director, Chief Operating Officer. He is responsible for MFA operations and finance, including accounting, budgeting, human resources and technology. He also leads and directs all efforts related to membership retention, development and growth. Mr. Donovan divides his time between MFA’s Washington D.C. and New York offices.

Mr. Donovan is a respected industry veteran with more than 25 years of experience. He joins MFA from Bank of America Merrill Lynch where he has served since 2004 in a variety of leadership roles in Fixed Income Prime Brokerage, sales and relationship management. He was previously co-head of U.S. prime brokerage sales at Morgan Stanley. Mr. Donovan holds a Bachelor’s degree in Finance from Lehigh University and a MBA from Fordham University.

Madeleine Dowling

Head of Regulatory and Compliance, iCapital, Inc.

Madeleine Dowling is iCapital’s Head of Regulatory and Compliance as well as a managing director.  Prior to joining iCapital, Madeleine was the General Counsel of SIMON Markets LLC, which was acquired by iCapital in 2022.  Prior to SIMON, Madeleine was a longstanding partner at Sidley Austin LLP in the firm’s Securities and Derivates Regulatory Enforcement group.  Over the course of her career, Madeleine has advised broker-dealers and investment advisers on compliance with the federal securities laws and the rules of self-regulatory organizations.  She also has extensive experience defending financial institutions in investigations brought by the Department of Justice, Securities and Exchange Commission, FINRA, and the State Attorneys General.  

She graduated from St. Lawrence University and received her law degree from Fordham University School of Law.

Shelley Eisenhandler

Partner, Eisenhandler & Co. LP

Shelley Eisenhandler, recently launched Eisenhandler & Co. (January 2023) a management consulting firm specializing in human capital strategy. Ms. Eisenhandler delivers HR and compensation consulting services to hedge funds, private equity firms, alternative credit boutiques and real estate investment managers. Ms. Eisenhandler works with Founders and Management Committees to ensure culture, business goals and objectives are aligned with HR programs including compensation structures.

Eisenhandler & Co. launched a new compensation survey platform, MarketLook that provides managers with competitive pay levels for all roles and levels across the industry. Up until December 2022, Ms. Eisenhandler was a Partner at Aon/McLagan where she managed their alternative asset management business. Shelley’s work in the alternative asset management industry focused on helping clients link performance to reward. She has conducted annual compensation surveys, benefit studies, performance benchmarking analyses, incentive plan
design work and customized industry research for over 350 alternative asset managers.

Ms. Eisenhandler has assisted many alternative asset managers in their year end decision making, often meeting with management and compensation committees. Shelley also spent a significant amount of her time focusing in on pay equity, diversity and inclusion and technology convergence. Ms. Eisenhandler has also worked to bring human capital strategy capabilities to alternative asset management firms. This included selection/assessment, career progression, HR effectiveness, engagement, and performance management.

Ms. Eisenhandler also has experience working with key organizations in the fintech and digital asset space by providing advice to them on important human capital initiatives including compensation. Shelley is a frequent speaker on human capital strategy and compensation topics at alternative asset management industry events.

Ms. Eisenhandler enjoys spending time outdoors with her husband and watching her two children, Madison and Jack grow up.

Saul Farber MFA

Saul Farber

Director, Prime Brokerage Sales and Origination, Citi

Saul joined Citi in 2021 as a Director of Prime Sales and Origination. Prior to joining Citi, Saul served as Senior Director of Client Development & Sales at CME Group. As a member of the Prime sales team, Saul is responsible for introducing Citi offerings, generating new client leads and closing new mandates across Prime, Futures, OTC Clearing and FXPB.

Saul earned a bachelor’s degree Cum Laude in political science and history at New York University and earned a Juris Doctorate degree at New York Law School. He is a licensed attorney in New York and New Jersey.

Saul is an avid sports fan, loves to travel and fish. He lives in New Jersey with his wife Carly and two kids, Benjamin (7) and Elle (4).

Jillien Flores

Jillien Flores

Executive Vice President and Managing Director, Head of Global Government Affairs

Jillien Flores serves as Executive Vice President, Managing Director, Head of Global Government Affairs at MFA.

Flores joined MFA after six years at Vanguard, one of the world’s leading asset managers. There, she advocated before Washington policymakers on a range of issues related to US capital markets, tax, and retirement policy. Leveraging policy depth, strategy, and relationships, Flores achieved policy outcomes beneficial to Vanguard’s clients on issues including equity market structure, ESG and corporate governance, and systemic risk.

Throughout her career, Flores has sought opportunities to advance Diversity, Equity, and Inclusion within the financial services sector, serving in leadership roles of related efforts at Vanguard.

Prior to joining Vanguard, Flores was Director of Government Relations at Porterfield, Lowenthal, Fettig & Sears, where she represented clients before Congress and the federal financial regulators in the asset management, insurance, securities, and biotechnology sectors. She was involved in the legislative and rule-writing process for several financial services laws and regulations, including the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Jumpstart Our Business Startups Act.

Flores earned a B.A. from the George Washington University in Washington, DC.

Anant Gajjar

Head of Capital Treasury Analytics, HSBC Securities USA Inc

Anant Gajjar leads the GBM Capital and Treasury Analytics team. He joined HSBC in 2006 working in the Derivatives Model Review Group reviewing Global Markets Pricing and Risk models. He moved to Global Markets Capital Management within Business Finance in 2013, focussing on managing financial resource usage of the Markets business. Anant transitioned to leading the team in 2020 and has recently expanded his scope to cover the Global Banking and Markets business as a whole.  Covering all financial resources with an aim of ensuring that resource usage is understood, efficient and sustainable across the medium term horizon which includes understanding and advocating on regulatory changes.

Cary Goldstein

Chief Technology and Security Officer, Empyrean Capital Partners, LP

Cary Goldstein has 25 years of experience in the global financial technology sector, with experience in the implementation of mission critical infrastructure, portfolio management tools, trading systems, and cybersecurity.  Mr. Goldstein joined Empyrean as Chief Technology and Security Officer in 2015.  Prior to joining Empyrean, Mr. Goldstein worked as a Managing Director at ConceptONE, LLC, delivering risk and regulatory reporting solutions to alternative investment managers, and as a Director of the Prime Brokerage Hedge Fund Consulting team at Bank of America Merrill Lynch.  Mr. Goldstein also worked for Goldman Sachs from 1998-2005 where he was the Head of IT for the Principal Strategies (GSPS) desk. Mr. Goldstein earned his BS in Business Administration from Washington University in St. Louis in 1995, his Master of Science in Information Systems from New York University in 2001, and a Certificate in Advanced Computer Security from Stanford University in 2015.

Sean Graham

Office of University Investment, Cornell University
Isaac Haas

Isaac Haas

General Counsel
HBK Capital Management

Isaac Haas has been associated with HBK since 2015 and serves as HBK’s General Counsel, with primary responsibility for managing the firm’s legal function. Prior to joining HBK, Isaac was an attorney at Haynes and Boone, LLP, where he advised investment funds and operating companies on corporate and securities matters. He began his legal career as an associate at Jones Day. Isaac received a B.B.A. degree in Finance and Risk Management & Insurance in 2004 from Baylor University. He received a J.D. degree magna cum laude in 2011 from Southern Methodist University Dedman School of Law, where he was a Sumners Scholar and served on the editorial board of the SMU Law Review Association.

Jennifer Han

Executive Vice President, Chief Counsel, Head of Global Regulatory Affairs

Jennifer Han serves as Associate General Counsel at Managed Funds Association (MFA).  In her position, she advocates and shapes legislative and regulatory policies affecting the alternative investment industry in the U.S., Europe and Asia.  She advises on, develops and implements strategies for MFA members in seeking legal, regulatory and compliance changes and/or guidance for investment advisers, commodity trading advisors and commodity pool operators.  She has extensive experience working with policy makers and regulators, such as throughout the financial crisis, post-crisis and to refinement of today’s regulatory framework.  She works regularly with legislative policy makers and regulators, including the SEC, CFTC, Department of Treasury, Federal Reserve, NFA, ESMA, UK FCA and IOSCO, among many others.

As background, MFA represents the global alternative investment industry and its investors by advocating for sound industry practices and public policies that foster efficient, transparent, and fair capital markets. MFA, based in Washington, DC, is an advocacy, education, and communications organization established to enable hedge fund and managed futures firms in the alternative investment industry to participate in public policy discourse, share best practices and learn from peers, and communicate the industry’s contributions to the global economy. MFA members help pension plans, university endowments, charitable organizations, qualified individuals and other institutional investors to diversify their investments, manage risk, and generate attractive returns over time. MFA has cultivated a global membership and actively engages with regulators and policy makers in Asia, Europe, the Americas, Australia and many other regions where MFA members are market participants.

Prior to joining MFA, Jennifer was a staff attorney in the Office of Compliance Inspections and Examinations at the SEC, where she conducted inspections and examinations, and advised on legal and compliance matters relating to developments in securities regulations and industry practices.  Jennifer began her legal career as an associate with Pickard and Djinis LLP, a boutique securities law firm in Washington, D.C.  She received her Bachelor of Arts degree from Cornell University and her Juris Doctor from American University.  While in law school, she was an Editor of the American University International Law Review.  Jennifer is a member in good standing of the Virginia bar.

Carla Harris

Senior Client Advisor, Morgan Stanley

Carla Harris is a Senior Client Advisor at Morgan Stanley. She was most recently a Vice Chairman responsible for increasing client connectivity and penetration to enhance revenue generation across the firm. She was the founder and creator of the award winning, Multicultural Innovation Lab at Morgan Stanley, and the award winning podcast, Access and Opportunity. She formerly headed the Emerging Manager Platform, the equity capital markets effort for the consumer and retail industries and was responsible for Equity Private Placements. In her 30+ year career, Ms. Harris has had extensive industry experiences in the technology, media, retail, telecommunications, transportation, industrial, and healthcare sectors. In August 2013, Carla Harris was appointed by President Barack Obama to chair the National Women’s Business Council.For more than a decade, Ms. Harris was a senior member of the equity syndicate desk and executed such transactions as initial public offerings for UPS, Martha Stewart Living Omnimedia, Ariba, Redback, the General Motors sub-IPO of Delphi Automotive, and the $3.2 Billion common stock transaction for Immunex Corporation, one of the largest biotechnology common stock transactions in U.S. history. Ms. Harris was named to Fortune Magazine’s list of “The 50 Most Powerful Black Executives in Corporate America”, Fortune’s Most Influential List, U. S. Bankers Top 25 Most Powerful Women in Finance (2009, 2010, 2011), Black Enterprise’s Top 75 Most Powerful Women in Business (2017), and “Top 75 African Americans on Wall Street”, and to Essence Magazine’s list of “The 50 Women Who are Shaping the World”, Ebony’s list of the Power 100 and “15 Corporate Women at the Top” and was named “Woman of the Year 2004” by the Harvard Black Men’s Forum and in 2011 by the Yale Black Men’s Forum.Prior to joining Morgan Stanley, Carla received an MBA, Second Year Honors from Harvard Business School and an AB in economics from Harvard University, Magna Cum Laude. Carla has also received Honorary Doctorates of Laws, Humanities and Business from Marymount Manhattan College, Bloomfield College, Converse College, Jacksonville University, Simmons College, the College of New Rochelle, St. Thomas Aquinas College, Babson College and Fisk University, Wake Forest University and Felician University respectively. Carla Harris is actively involved in her community and heartily believes that “we are blessed so that we can be a blessing to someone else.”She is the past Chair of the Board of the Morgan Stanley Foundation and of The Executive Leadership Council, and sits on the boards of Sponsors for Educational Opportunity (SEO), The Sesame Workshop, Mother Cabrini Health Foundation and is an active member of the St. Charles Gospelites of the St. Charles Borromeo Catholic Church. She was a member of the board of overseers of Harvard University and is a member of the board of directors of the Walmart Corporation, Cummins Corporation and MetLife. Ms. Harris was co-chair of the National Social Action Commission of Delta Sigma Theta Sorority, Incorporated. She has been named to the New Jersey Hall of Fame (2015) and has received the Bert King Award from the Harvard Business School African American Alumni Association, the 2005 Women’s Professional Achievement Award from Harvard University, the Pierre Toussaint Medallion from the Office of Black Ministry of the Archdiocese of New York, the Women of Power Award given by the National Urban League, the Women of Influence Award from The Links, Incorporated and many other awards. In her other life, Carla is a singer who has sold out concerts at Carnegie Hall and the Apollo Theatre, and released 4 Gospel CDs:“O This is Christmas” (2021) “Unceasing Praise” (2011), “Joy Is Waiting”(2005), and her first CD entitled, “Carla’s First Christmas”(2000), was a bestseller on in New York and was featured on the CBS Evening News with Dan Rather in his “American Dream” segment. She is also an internationally renowned public speaker. She was named one of the top 50 speakers in the world by Real Leaders Magazine (2023) and one of the Top 40 female Speakers (2020). She is the author of the books, Strategize to Win (2014), Expect to Win (2009) (Hudson Press) and of Lead To Win (2022).

David Hohmann

David Hohmann

Director of Administration and Risk, Tufts University
James Houghtlin MFA

Jamie Houghtlin

General Counsel and Chief Compliance Officer, Whale Rock Capital Management LLC

Jamie is the General Counsel and Chief Compliance Officer at Whale Rock Capital Management LLC. Jamie joined Whale Rock in 2017. Jamie has over 21 years of compliance and legal experience working in the financial services industry. Prior to joining Whale Rock, Jamie was a Vice President with responsibility for equity capital markets compliance at Wellington Management in Boston.  Jamie previously held senior compliance and legal roles at Bain Capital, Lehman Brothers and JP Morgan. Jamie currently serves on the board of CSforMA, Inc.  Jamie received a JD from Fordham University School of Law in 2002 and a BA from Middlebury College in 1997.

Chris Hughes

Chief Operating Officer, Axonic Capital LLC

Chris joined Axonic at inception and previously worked with Clay DeGiacinto and Jamshed Engineer at Tower Research Capital. He is responsible for the management of counterparty due diligence, asset valuations, P&L reporting, new entity setup, and he oversees all of the daily operational processes for the firm’s trading activity. From 2009–2011 he was Operations Manager at Tower Research Capital LLC. From 2006–2009 he was Head of Operations at Dynamic Credit Partners LLC. From 2004–2007 he was an Operations Associate at Nomura Corp Research and Asset Mgmt. From 2002–2004 he was an Operations Associate at Deutsche Bank, AG. Mr. Hughes received a B.A. in Economics from the University of Delaware, 2002.

Jose Jimenez

Partner, Albourne Partners

Jose Jimenez is a partner in the Implementation Group at Albourne Partners where he provides advice regarding client’s operational processes, analysis of fund documents, assistance with negotiation of terms, and subscription and AML assistance. He joined the firm in 2011 as an Operational Due Diligence analyst where he led a team of analysts responsible for operational due diligence coverage of alternative funds.

Prior to Albourne, Jose was an audit manager at Ernst & Young in Bermuda working in the hedge fund practice.

Jose is a Canadian CPA,CA and has a Master in Accounting from University of Toronto and a Bachelor in Mechanical Engineering from the University of Western Ontario.

Albourne was established in 1994 and advises investors on hedge funds, private equity funds, real assets and dynamic beta. It has over 340 clients from around the globe who have an estimated $700 billion invested in alternative investments.

Brendan Kalb

Brendan R. Kalb

Global General Counsel
ExodusPoint Capital Management

Brendan Kalb is the General Counsel of ExodusPoint Capital Management, LP. Prior to joining ExodusPoint, Brendan was a partner in the Investment Management Group at Morgan Lewis in New York. Prior to joining Morgan Lewis, Brendan was the General Counsel at AQR Capital Management, LLC, a quantitative registered investment adviser based in Greenwich, CT, where he was responsible for managing the full spectrum of the firm’s legal affairs. Prior to joining AQR, Brendan worked as an associate at the law firms of Willkie Farr & Gallagher and Seward & Kissel. Brendan received his JD from Cornell Law School and graduated magna cum laude with a B.A. in International Relations & Economics from the University of Pennsylvania. Brendan has served as a member of the Board of the Directors of the National Futures Association and as a member of the Managed Funds Association’s Investment Adviser and Government Affairs Committees, and as Chairman of the MFA’s CTA, CPO and Futures Committee. Brendan also serves on the Board of Advisors of the Institute for Law and Economics, a joint research center between the Law School, the Wharton School and the Department of Economics at the University of Pennsylvania

Tyler Kirk

General Counsel, Alfred I. duPont Charitable Trust

Tyler Kirk joined the Alfred I. duPont Charitable Trust in 2019. His primary responsibilities include managing the legal and compliance program and providing legal advice to the Trust on its investment and internal operations. Mr. Kirk earned his bachelor’s degree in economics from Georgia State University, master’s degree in economics from North Carolina State University, and juris doctor from the University of Miami. Before joining the Trust, Mr. Kirk served as senior counsel in the Division of Investment Management at the Securities and Exchange Commission in Washington, DC where he was a member of the SEC’s first digital asset working group from 2013 to 2016. Afterward, Mr. Kirk was an associate in the Washington, DC offices of two international law firms. He is admitted to practice law in the District of Columbia and Florida.

Kelly Koscuiszka

Schulte Roth & Zabel

Kelly Koscuiszka serves as co-chair of the Investment Management Regulatory & Compliance Group, where she advises private funds on regulatory and compliance matters, particularly the Investment Advisers Act of 1940. Kelly supports clients undergoing SEC examinations, including by handling deficiency letters and enforcement referrals and also uses that experience to assist clients with exam preparedness. Kelly specializes in the intersection of regulation and emerging technologies, including artificial intelligence, alternative data, web scraping and electronic communications. She also advises clients on data privacy and cybersecurity. Kelly regularly conducts client training sessions and is a sought-after presenter at leading industry conferences. Kelly is admitted to the Bar in New York and has Court Admissions in the US Supreme Court; the US District Court of New Jersey; and the US District Courts in Eastern and Southern Districts of New York.
Kelly received her J.D. from Georgetown University Law Center and her B.A. from Rutgers University.

Mioara Larson MFA

Emi Mioara Larson

Chief Operating Officer, UCLA Investment Company

Emi Mioara Larson is the Chief Operating Officer for UCLA Investment Company where she oversees the daily operations of the organization and leads the operational due diligence efforts across all asset classes.

Ms. Larson has extensive experience in asset management having worked with both investment advisers and institutional investors. Her focus and expertise are on business development, operations, compliance, and risk management. Prior to joining UCLA, she managed the investment operations and operational due diligence for the investment office at Alfred P. Sloan Foundation. Prior to that, Ms. Larson was the Director of Operations at Barlow Partners, a New York based, institutionally-focused, long/short fund of hedge funds. Earlier in her career, she was the Operations Manager at Old Square Capital Advisors, a frontier and emerging markets investment adviser.

She received her undergraduate degree from University of Bucharest and holds a MS in Enterprise Risk Management from Columbia University.

Sharon Lee

Director of Investment Operations, William and Flora Hewlett Foundation

Ian L. Levin

Partner, Schulte Roth & Zabel

Ian L. Levin is a partner in the firm’s M&A and Securities Group and Employment and Employee Benefits Group. Ian’s practice covers a broad range of executive compensation and employee benefits matters, including the associated tax, securities, corporate, employment and labor issues. Ian’s broad experience and understanding of prevailing “market” terms enables him to assist clients in designing practical and competitive compensation and benefits arrangements that meet the unique needs of the client, with a focus on tax optimization. Ian’s practice routinely involves:

  • Advising alternative investment management firms on all executive and key employee employment and compensation matters, including employment and separation agreements, carried interest and “phantom” carried interest arrangements, retention agreements and arrangements, deferred compensation, equity and cash incentive programs, and restrictive covenants
  • Advising public and private companies on the design and establishment of virtually all types of executive compensation, equity, deferred compensation and other benefit arrangements
  • Representing executives and management teams in negotiating employment and incentive compensation, particularly in connection with corporate transactions
  • Structuring private equity and hedge funds and other investments in compliance with ERISA
  • Advising private and public companies, in particular private equity sponsors, regarding executive compensation and employee benefits issues arising in mergers and acquisitions, initial public offerings, joint ventures and other transactions
  • Advising companies and their boards regarding governance and disclosure requirements
  • Representing lenders and borrowers in various corporate financing transactions

Ian is recognized as a leading employee benefits attorney by Chambers USA, The Legal 500 US, New York Super Lawyers and Best Lawyers. Chambers USA describes Ian as “highly experienced in advising clients on the benefit and executive compensation issues associated with various business transactions” and noted that clients regard Ian as “very proactive” and “an excellent lawyer with strong technical knowledge.” The Legal 500 US has noted that he “operates at a very high level across many areas, but brings a particularly unique set of skills to ERISA Title I matters in his representation of private investment funds.”

Ian serves as chair of the Advisory Board and as a member and former chair of the Center for Transactional Law and Practice Advisory Board at the Emory University School of Law. He also serves as an adjunct professor at New York Law School and Emory University School of Law.

Courtney Lewis

Chief Compliance Officer and General Counsel, North America
Marshall Wace North America LP

Courtney is currently Chief Compliance Officer and General Counsel of Marshall Wace North America.  She is also a member of the Global Operating Committee. Prior to joining the firm, Courtney was Chief Compliance Officer and General Counsel of Hound Partners, which was seeded by Tiger Management.  She began her career at Systematic Financial Management, an affiliate of Affiliated Managers Group.

Courtney gained a Bachelor of Arts (2007) from New York University’s Gallatin School of Individualized Study and a Juris Doctorate with a Masters in International Political Economy and Development (2010) from Fordham University.  Courtney is an adjunct professor in Fordham Law School’s Masters of Compliance program, for which she also helped develop the course curriculum in Investment Management Regulation.  She is also Board Chairperson of Literacy Partners, an adult literacy non-profit organization focused on having a two-generation impact on education.

Anthony Martinez MFA

Anthony Martinez

Head of the Mercer Sentinel Group (Americas), Mercer

Tony is Mercer’s Leader of the Americas for the Mercer Sentinel Group. Tony is responsible for leading Mercer Sentinel Group in providing risk and governance services to investment organization. Tony joined Mercer’s Investments business in 2009 and is based in Boston, Massachusetts.

Tony brings 20+ years of financial services experience. Prior to joining the Mercer Sentinel Group, Tony was a senior leader within Mercer’s Outsourced Chief Investment Officer (OCIO) team focused on client & business functions, including: client implementation, transition management, product development, investment operations and pricing/business development.

Prior to joining Mercer, Tony has held relationship management, product development and investment operations roles at firms such as, Wellington Management, State Street Global Advisors & MFS Institutional Advisors.

Tony received a BA degree from Western New England University. Tony also holds the Claritas® Investment Certificate by the CFA® Program.

Ian P. McGinley

Director, Division of Enforcement, Commodity Futures Trading Commission (CFTC)

Ian McGinley is the Director of the Commodity Futures Trading Commission’s Division of Enforcement.  In this role, he leads the CFTC’s enforcement program and oversees prosecutions and investigations, the market surveillance unit, the forensic economist unit, and the CFTC’s whistleblower program.  He joined the CFTC in February 2023 from the law firm Akin Gump, where he was a partner.  Ian previously served for more than a decade as an Assistant U.S. Attorney in the Southern District of New York, where he was Co-Chief of the Complex Frauds and Cybercrime Unit and a member of the Securities and Commodities Fraud Task Force.

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Robert McGrail

Head of Legal and Compliance, DUMAC, Inc

Arthur Melkonian

Chief Operating Officer, Equinox Partners

Arthur Melkonian previously worked at State Street Co. and International Fund Services. Mr. Melkonian joined Equinox Partners in 2011, as the COO he oversees all fund and business operations. Equinox Partners is a global value, registered investment manager with a 35+ year track record. Mr. Melkonian holds a B.S. in International Business Relations from Johnson & Wales University and an MBA in Finance from Nova Southeastern University.

Erin Mullen

Erin Mullen

General Counsel & Chief Compliance Officer
Woodline Partners

Erin Mullen is the Chief Compliance Officer for Woodline Partners, LP. Previously, Erin worked at Citadel supporting the Fundamental Equities businesses and Citadel’s alternative data initiative. Prior to joining Citadel, she worked at Bank of America Merrill Lynch in a number different of legal and compliance roles. Erin began her career working at Gibson, Dunn & Crutcher and Chadbourne & Parke. Erin attended the Georgetown University Law Center and the University of Minnesota.

Mike Murphy

Famed Conservative Political Media Consultant; Senior Analyst, NBC News & MSNBC; Co-Host, 'Hacks on Tap' Podcast; Top Campaign Advisor to John McCain, Mitt Romney, Jeb Bush, and Arnold Schwarzenegger

Mike Murphy is one of the Republican Party’s most successful political media consultants, having handled strategy and advertising for more than 26 successful gubernatorial and Senatorial campaigns, including 12 wins in “blue” states that have consistently voted Democratic in Presidential elections. He served as a top campaign advisor to John McCain, Mitt Romney, Jeb Bush and Arnold Schwarzenegger, along with dozens of other GOP Senators, Governors and Members of Congress. Murphy has worked on five GOP Presidential campaigns and for foreign leaders in Europe and Latin America. He also advises several Fortune 500 corporations, as well as several Hedge Funds and Trade Associations. In 2020 he served as a key strategist for Republican Voters Against Trump.

Murphy is also a widely quoted pundit; he is a longtime top analyst for NBC News and MSNBC and he co-hosts the popular podcast Hacks on Tap. In the Hacks on Tap newsletter, Murphy and Robert Gibbs share insights you’ll only get from folks who have spent a lifetime in the political trenches of both parties. He’s written columns and op-ed pieces for TIMEThe Washington PostThe New York Times, and the BulwarkVisit Murphy’s website to read his commentary >>

Murphy is currently co-director the University of Southern California’s Center for the Political Future.  He serves on the boards of the National Alliance for Public Charter Schools and the University of Chicago Institute of Politics. He served as a longtime senior fellow at Harvard’s Belfer Center for Science and International Affairs; focusing on the intersection of domestic politics and national security decision making. Murphy also works as a writer and producer in the entertainment industry with projects at HBO, CBS, and 20th Century Fox Studios.

Murphy was born in Detroit, Michigan and attended the Walsh School of Foreign Service at Georgetown University. He lives with his wife Tiffany and daughter Audrey in Los Angeles.

Kevin Neubauer

Partner and Co-Head, Investment Management Group
Seward & Kissel LLP

Kevin Neubauer is a partner in and co-head of Seward & Kissel’s Investment Management Group. Kevin works with sponsors and managers of various private investment funds and other pooled investment vehicles, including private equity funds, hedge funds, funds of funds, commodity pools, and various “hybrid” funds. In particular, Kevin focuses on fund formation and structuring, the offering of interests by private investment funds, and the negotiation and documentation of such investments. Kevin has significant experience in organizing both domestic and offshore partnerships and other investment vehicles, including separately managed accounts and funds-of-one. Kevin also represents fund sponsors in connection with seed-capital investments, and funds of funds and other institutional investors in connection with their investments in private funds. Kevin regularly counsels investment advisers on regulatory and compliance matters, including the development of comprehensive compliance programs and in connection with regulatory examinations. Kevin previously worked in the Legal & Compliance group of Providence Equity Partners L.L.C/Benefit Street Partners L.L.C.

In 2020, Kevin was named to Private Debt Investor’s (PDI) 2020 Rising Stars list. The list recognizes industry figures who PDI believes have the potential to shape the future of the private debt asset class. Kevin was also recently named a “Rising Star” in the Private Equity Fund practice area by the International Financial Law Review. This category recognizes young partners who work on complex private equity deals and are highly recommended by their clients and peers.

Mr. Neubauer received a B.A. from Fairfield University and a J.D. from Boston College Law School.

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Shaun Wei Tjia Ng

Managing Director, Cleveland Clinic Investment Office

Stephanie Miranda Pries, JD

Director of Investment Legal & Compliance, University of Notre Dame Investment Office

Neal Prunier

Senior Director, Industry Affairs, Institutional Limited Partners Association (ILPA)

Neal Prunier, Senior Director, Industry Affairs at the Institutional Limited Partners Association (ILPA) is responsible for the continuing evolution and expansion of ILPA standards and best practices, as well as ILPA’s legal, government and regulatory affair efforts.

Prior to ILPA, Neal spent his career at Cambridge Associates where he most recently served as Senior Director in CA’s Arlington, Virginia office. In this role, he oversaw staff across Singapore, London, and Arlington as head of a global investment operations department responsible for enterprise data management for Private Investment, Hedge Fund, and Long Only investment manager/client specific data. This work focused on serving the data needs of Research, Consulting, and Performance Reporting functions, as well as clients and the broader industry.

Neal holds a BS in Finance from Elon University and an MBA from the Duke University Fuqua School of Business.

Tom Redburn MFA

Thomas E. Redburn, Jr.

Partner, Chair, Securities Litigation, Lowenstein Sandler LLP

Thomas Redburn is the Chair of the firm’s Securities Litigation practice and has extensive experience representing clients in a wide range of commercial disputes involving securities and complex financial transactions. Tom’s practice is focused on representing clients in litigation arising under the Securities Act of 1933 and the Securities Exchange Act of 1934, opt-out cases, fiduciary duty and derivative litigation, state blue sky litigation, shareholder activism, debtholders litigation, structured finance litigation with a focus on mortgage-backed securities, litigation arising from mergers and acquisitions, and other complex litigation.

He has obtained significant victories and recoveries, including representing institutional investors in federal securities law actions arising from disclosures at Marrone Bio Innovations Inc., American Realty Capital Properties Inc. (n/k/a VEREIT Inc.), Barrick Gold Corporation, and Ocwen Financial Corporation. Tom recently defeated a motion to dismiss in a multimillion-dollar securities fraud case and represented a high net worth financial institution in a shareholder derivative suit on behalf of shareholders of TerraForm Power Inc. He represents Appaloosa Investment Limited Partnership I in a highly contested CMBS matter and successfully argued before the Second Circuit an appeal relating to that matter. Tom applied his keen analytical skills to successfully argue in the First Department of New York’s Appellate Division on behalf of holders of bonds issued by Global A&T Electronics (GATE), obtaining reinstatement of the bondholders’ claims that the company breached its agreement with creditors.

Tom regularly litigates in federal and state courts in New York, New Jersey, Delaware, California, Florida, the District of Columbia, and other jurisdictions all over the United States. He has an active pro bono practice and sits on the board of North Star Academy.


  • Cornell University Law School (J.D. 1995), magna cum laude; Editor, Cornell Law Review
  • The Johns Hopkins University (B.A. 1992), with University and Department honors

Bar Admissions

  • New York
  • New Jersey

John Ringwood

Deputy General Counsel, Fir Tree Partners

Christine Ritchie

Managing Director, Investment Risk and Operations, Hackensack Meridian Health

Christine is the Managing Director of Investment Risk and Operations at Hackensack Meridian Health where she manages all back-office functions and the Operational Due Diligence program.  The Hackensack Investment Office manages $7 billion in Balance Sheet and Pension assets.  Prior to joining Hackensack, she had a similar role at the Carlton College endowment. Before moving to the endowments & foundations world, she was the Head of Global Operations at a $15 billion multi-strat hedge fund, a Risk Manager at Goldman Sachs (NY and HK), held multiple roles at Merrill Lynch, and started her career as an accountant and for two global accounting firms. Christine earned her Masters and Bachelor’s in Accounting from The University of Texas at Austin and is a CPA and a CFA Charterholder.

Mark Russo

Mark A. Russo

General Counsel

Mr. Russo serves as General Counsel and a Managing Director at ZAIS Group, LLC. Mr. Russo was appointed General Counsel in April 2017. Before joining ZAIS in February of 2007, Mr. Russo was an attorney at Thacher Proffitt & Wood LLP in the Structured Finance Practice Group from 2004 to 2007. He received a B.S. with distinction from The Pennsylvania State University and a J.D. from St. John’s University School of Law.

Mark Schein

Managing Director, Chief Operating Officer and General Counsel, Madison International Realty

2023-Present     General Counsel and COO of Madison International Realty

2020-2023            CCO of Varde Partners

2004-2020            CCO of York Capital Management

2004                       Director of Anti-Money Laundering for Schwab Capital Markets

2001-2004            Chief Compliance Officer for UST Securities (Broker Dealer arm of US Trust Company)

1997-2001            Senior Trial Counsel for the NYSE Enforcement Division

1991-1997            Assistant District Attorney Bronx DA’s Office (Prosecuted Organized Crime and Police Corruption)

JD from Vanderbilt University Law School

BA from Williams College

Martin L. Schmelkin

Schulte Roth & Zabel LLP

Marty is a Partner in the Employment & Employee Benefits practice at Schulte Roth & Zabel, where he advises clients primarily in the financial services sector, including hedge funds, private equity firms, asset managers and investment banks.

He has nearly 30 years of experience in employment law, representing clients in all aspects of the employment lifecycle, including counseling on recruitment, hiring, employment agreements, compensation, promotions, leaves, disciplinary action,  terminations, and separation agreements

Marty conducts workplace investigations on harassment and discrimination, advises on litigation strategy, coordinates the implementation of employment policies and programs across multiple global jurisdictions, and leads workplace training programs.

He has a wealth of experience with diversity, equity and inclusion (DEI) policies and programs, including the interplay with Environmental Social Governance (ESG) reporting. He also counsels employers on regulatory filings, affirmative action programs, pay equity analyses and diversity demographic disclosures.

Marty brings a unique perspective to clients, having worked for 15 years in the legal department of Goldman Sachs, where he was a managing director and associate general counsel in the employment law group. While there he spent time in the firm’s Hong Kong office covering employment law matters throughout Asia and also had responsibility for employment law in non-US offices in the Americas.

He is a frequent presenter at industry conferences, serves as an Associate Lecturer on Labor & Employment Law at Columbia University, and is a member of the Executive Board of the Cornell University School of Industrial & Labor Relations (ILR) Alumni Association.

Marty received his J.D. from New York University School of Law, and B.S. from Cornell University.

Kevin Skorzewski

Head of US Business Development, Alternative Asset Managers, Asset Servicing, BNY Mellon

Kevin is a seasoned professional spearheading BNY Mellon’s Business Development engagement with alternative asset managers in the U.S. and joined the organization in 2017. With twenty-five plus years of comprehensive Wall Street experience in investment management, he has a diverse skill set encompassing global fund structuring, product development, marketing, trading, and operations across hedge funds, credit, private equity, and real estate.

Before joining BNY Mellon, Kevin served as the Senior Vice President and Head of Business Development for HSBC Securities Services in the Americas where he catered to both traditional and alternative asset managers along with insurance companies. His tenure at J.P. Morgan’s Corporate and Investment Bank saw him as the Executive Director and Senior Business Development Manager overseeing the Long Short Strategies Group within the Prime Brokerage division. Throughout his career, he has also held key positions in securities services, prime brokerage, financial technology and electronic trading.

Kevin’s journey in finance commenced on the buy side as a financial analyst and securities trader at Avatar Investors Associates, Inc., under the tutelage of renowned investor Marty Zweig.

He holds a master’s degree in finance from New York University, Stern School of Business, and a bachelor’s degree in business administration from the University of Minnesota, Carlson School of Business.

Orville Thomas

Executive Director

Orville Thomas is an Executive Director in the UBS Business Consulting team based in New York. Orville has almost 15 years of experience in prime brokerage/financing where he has advised hedge funds in various capacities including legal, business consulting and capital introductions. Prior to joining UBS, Orville was a member of the Capital Introductions team and BofA Securities in New York having previously worked at Credit Suisse in Hong Kong, and Morgan Stanley in both London and Hong Kong. Orville began his career as a lawyer in London and received a B.A. in political science from Boston College and a J.D. from Boston College Law School.

Noah Theron

Noah Theran

Executive Vice President and Managing Director, Head of Global External Affairs

Noah Theran is MFA’s Executive Vice President and Managing Director, Head of Global External Affairs.

Noah joined MFA after six years at Internet Association, a national trade association representing more than 40 of the world’s top internet companies, where he oversaw global communications, creative, marketing, events, and grassroots. In this role, he helped grow Internet Association from a startup into a respected voice on tech policy issues.Prior to Internet Association, Noah was Director of Communications at the American Investment Council, the trade association representing the interests of the world’s largest private equity firms. There, his team earned a PRSA Silver Anvil Award of Excellence, Reputation/Brand Management for their campaign to help the private equity industry manage the spotlight of the 2012 presidential election.

Noah also worked at Rasky Baerlein Strategic Communications in Washington, where he developed and executed communications strategies for a diverse set of clients with broad reputation, image, and crisis management challenges.

Noah earned his B.S. from Cornell University in Ithaca, NY.

Heather Traeger

Heather L. Traeger

General Counsel & Chief Compliance Officer, Teacher Retirement System of Texas

As General Counsel and Chief Compliance Officer for the Teacher Retirement System of Texas, Heather Traeger is responsible for all legal services and compliance for the sixth largest public pension fund in the United States, including those related to the retirement system’s pension plan and two health care programs. She serves as General Counsel for the headquarters located in Austin, Texas and the subsidiary located in London.

Ms. Traeger’s legal practice includes a strong regulatory background, with significant experience advising a variety of financial institutions. She has more than 22 years of experience in the financial services industry, including as Senior Counsel to Commissioner Roel Campos at the U.S. Securities and Exchange Commission, Counsel to Commissioner Isaac Hunt, and Senior Counsel in the Division of Market Regulation (now Trading and Markets).

Prior to joining TRS, Ms. Traeger was a partner at O’Melveny & Myers LLP, in Washington, D.C., in the Financial Services Practice and served as an Associate Counsel at the Investment Company Institute (ICI). Currently, she serves on the ILPA Legal Advisory Committee, the Board of the Association of Securities and Exchange Commission Alumni, and the Board of the National Society of Compliance Professionals. Ms. Traeger is a member of the Texas and District of Columbia bars.

Stephanie Withers, CPA

Senior Manager, Investment Operations, W.K. Kellogg Foundation


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