Program Organizer
Invites You to A Complimentary In-Person Briefing
Eighth Annual
Hot Topics in
SEC and DOJ Enforcement and
Litigation 2026/2027
Hear About the Latest Developments from
Six Senior DOJ and SEC Officials
• U.S. Attorney, S.D.N.Y., DOJ
• Director, Division of Enforcement, SEC
• Director of Enforcement, CFTC
• Chief, Criminal Division, U.S. Attorney’s Office, E.D.N.Y, DOJ
• Deputy Director, Division of Enforcement, SEC
• Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney’s Office, S.D.N.Y, DOJ
Tuesday, December 1, 2026
9:00 AM – 1:30 PM ET
Skadden, Arps, Slate, Meagher & Flom Conference Center
One Manhattan West
New York City
Key DOJ and SEC developments we will discuss:
DOJ:
DOJ enforcement priorities and recent investigations and prosecutions. The launch of DOJ’s Fraud Division, its approach to corporate fraud and five key priority areas for DOJ prosecutions including healthcare, procurement and government contracting, tariffs, trade and tax evasion.
SEC:
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Insider trading abuse
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Restructured SEC Wells process
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Market manipulation
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Cross border task force
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Retail fraud and offering fraud
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Accounting and financial reporting fraud
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Prediction markets: CFTC jurisdiction and regulatory framework
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Private credit
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AI initiatives including governance, investigations, regulatory scrutiny
Faculty
From the Government
Alixandra E. Smith
Chief, Criminal Division,
United States Attorney’s Office for the Eastern District of New York
Nicolas Roos
Co-Chief, Securities and Commodities Fraud Task Force, United States Attorney’s Office for the Southern District of New York
David Woodcock
Director of the Division of Enforcement,
Securities and Exchange Commission,
Washington, D.C.
Jamie McDonald
United States Attorney,
United States Attorney’s Office for the
Southern District of New York
Osman Nawaz
Deputy Director,
Division of Enforcement,
Securities and Exchange Commission
Washington, D.C.
David I. Miller
Director of Enforcement, Commodity Futures Trading Commission,
Washington, D.C.
Panelists from Law Firms & Corporate Law Departments, Advisors
Anita B. Bandy
Partner, Skadden, Arps, Slate, Meagher & Flom LLP,
Washington, D.C.
Raja Chatterjee
Vice President, Risk, Investigations, & Analytics Practice, Charles River Associates,
New York
D. Mark Cave
Partner, O'Melveny & Myers LLP;
Former Chief Counsel,
Division of Enforcement,
U.S. Securities and Exchange Commission,
Washington, D.C.
Andrew Dean
Partner, Weil, Gotshal & Manges;
Former Co-Chief, Asset Management Unit, Enforcement Division,
U.S. Securities and Exchange Commission
New York
Harris Fischman
Partner, Co-chair, White Collar and Regulatory Defense Practice,
Paul, Weiss, Rifkind, Wharton & Garrison LLP,
New York
Andrea Griswold
Partner, Co-Head, White Collar Defense and Investigations — Americas,
Skadden, Arps, Slate, Meagher & Flom LLP,
New York
Jacquelyn M. Kasulis
Partner, Kirkland & Ellis LLP; Former Acting United States Attorney for the Eastern District of New York
A. Kristina Littman
Partner, Co-Chair of the Securities Enforcement, Willkie Farr & Gallagher LLP
Washington, D.C.
Lorin L. Reisner
Partner, Co-Chair, White Collar and Regulatory Defense Practice,
Paul, Weiss, Rifkind, Wharton & Garrison LLP,
New York
Samantha L. Schreiber
Managing Director, Legal and Compliance, Morgan Stanley,
New York
Marshall S. Sprung
Global Head of Compliance,
Blackstone, New York
Leticia Vandehaar
Head of Regulatory Investigations,
Citigroup, Inc.,
New York
Sam Waldon
Partner, Wilmer Cutler Pickering Hale and Dorr LLP; Former Deputy Director of Enforcement,
Securities and Exchange Commission
Washington, D.C.
Program Highlights
9:00 AM – 1:30 PM ET including lunch
Keynote Address by Jamie McDonald: A View from the SDNY from the U.S. Attorney
Fireside Chat with David Woodcock: The Current SEC Enforcement Agenda
Fireside Chat with David Miller: CFTC Enforcement, Scope and Priorities
Panel 1: View from the Government: SEC, SDNY and EDNY White Collar Enforcement Programs and Priorities
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DOJ Enforcement Priorities: Corporate and White-Collar Investigations and Prosecutions in the SDNY and EDNY Past, Present and Future
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SEC Enforcement Priorities
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AI and Emerging Financial Technologies
Panel 2: Representing Clients and Current Enforcement Processes at the SEC and DOJ
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Parallel investigations involving DOJ components, the SEC, the CFTC and other enforcement authorities.
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The current state of the Wells and Pre-Wells process at the SEC
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DOJ advocacy in the current administration
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Cooperation, self-reporting and expectations established by DOJ and SEC reporting/disclosure programs.
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The continuing role of whistleblowers in white collar investigations
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Impact of Executive Orders on Policy and Practice before DOJ and independent agencies
Panel 3: Hot Substantive Topics for Public Companies, Financial Firms and Other Business Organizations
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Insider trading: Classic Form, Prediction Market Abuse and Related topics.
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Private Credit: Competing strains of retail investor access and retail investor protection.
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Regulated Entities – Private Funds, Investment Advisors, Broker-Dealers and Beyond: Conflicts of Interest, Valuation, Pay to Play, Reg BI
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Financial Reporting, Accounting Fraud and Public Company Disclosure
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Cryptocurrency and digital assets – increased role of state AGs and evolving regulatory landscape
About the Premier Sponsor:
Operating from ten countries around the world, CRA’s clients over the past two years included 97% of the AmLaw 100 law firms, and 81% of the Fortune 100 companies. Our Forensic Services Practice has been recognized by The National Law Journal as being one of the top three Forensic Accounting Providers in the country; by Global Investigations Review as one of the leading investigative consultancies from around the world for handling sophisticated cross-border, government-driven and internal investigations; and by Chambers in recognition of our deep litigation support, crisis and risk management competencies.
CLE and CPE credits have been applied for.
For further information call Sandpiper at 973.278.8800
Or email Gina Rivera at ginarivera@sandpiperpartners.com