Program Organizer

Invites You to A Complimentary In-Person Briefing

Seventh Annual

Hot Topics in

SEC and DOJ Enforcement and

Litigation 2026

An Authoritative & Practical Update

Four Top SEC, US Attorney’s Office, S.D.N.Y., E.D.N.Y Officials

Financial Reporting and Accounting Fraud Investigations
Investigative Practices
Insider Trading Investigations
Parallel Investigations

Thursday, January 22, 2026

9:00 AM – 1:30 PM EST including lunch

Paul, Weiss Conference Center

1285 Avenue of the Americas

New York City

CLICK HERE TO REGISTER-- COMPLIMENTARY

Hear the Latest on White Collar and Securities Enforcement

From Senior Government Enforcement Officials

Our faculty includes senior SEC enforcement officials, DOJ prosecutors and defense counsel who have been directly involved in shaping the contours of white collar and securities enforcement. The agenda reflects the current focus on what’s next AND how present and past perspectives will inform where we are going.

We look forward to welcoming you to this important and timely conversation with government officials as well as leading corporate counsel and senior members of the defense bar. Also, many of the practitioners on the faculty served formerly in senior government positions in the Division of Enforcement, SEC or in U.S. Attorney’s Offices, SDNY and EDNY.

Among the notable hot topics we will cover are:

DOJ and SEC enforcement priorities
Financial reporting and accounting fraud investigations
Cryptocurrency and digital assets de-regulation
Insider trading
Asset management enforcement priorities
Increasing role of state AGs
Cooperation, self-reporting and expectations established by DOJ/SEC programs and incentives
The continuing impact of Whistleblowers on investigations and enforcement
Regulation by enforcement
Wells and pre-Wells processes at SEC
Future of AI enforcement

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

Sam Waldon

Deputy Director of Enforcement,

Securities and Exchange Commission,

Washington, D.C.

Patrick Zielinski

Supervisory Special Agent,

Federal Bureau of Investigation,

New York Field Office

Other Panelists from Law Firms & Corporate Law Departments, Advisors

Antonia M. Apps

Former Regional Director,

U.S. Securities and Exchange Commission,

New York

Anita B. Bandy

Partner, Skadden, Arps, Slate, Meagher & Flom LLP,

Washington, D.C.

Aleah Borghard

Associate General Counsel,

Citadel Securities,

New York, NY

Erica Crosland

Director and Associate General Counsel, Investigations, Robinhood,

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, NY

Daryl Griglak

Counsel, Corporate Litigation & Enforcement,

IBM, Armonk, NY

Scott Hartman

Partner, Quinn Emanuel Urquhart & Sullivan, LLP, New York; Former Chief, Securities and Commodities Fraud Task Force, U.S. Attorney’s Office for the Southern District of New York

Jacquelyn M. Kasulis

Partner, Kirkland & Ellis LLP, New York

A. Kristina Littman

Partner, Co-Chair of the Securities Enforcement,

Willkie Farr & Gallagher LLP, Washington, D.C. (Moderator)

David Markowitz

Global Co-Head of Litigation and Regulatory Proceedings,

Goldman, Sachs & Co.,

New York

Peter Nolan

Vice President, Practice Leader of Risk, Investigations & Analytics,

Charles River Associates,

New York

Lorin L. Reisner

Partner, Co-Chair of the White Collar and Regulatory Defense Practice,

Paul, Weiss, Rifkind, Wharton & Garrison LLP, Former Chief, Criminal Division, SDNY; Deputy Director of Enforcement, SEC

New York (Moderator)

Raja Chatterjee

Vice President, Risk, Investigations,

& Analytics Practice,

Charles River Associates,

New York

Richard C. Tarlowe

Partner, Deputy Chair, White Collar and Regulatory Defense Practice,

Paul, Weiss, Rifkind, Wharton & Garrison LLP,

New York

Program Highlights

9:00 AM – 1:30 PM ET including lunch

Panel 1: View from the Government: DOJ/SEC Priorities and Perspectives

DOJ Enforcement Priorities: Corporate and White-Collar Investigations and Prosecutions in the SDNY and EDNY Past, Present and Future
SEC Enforcement Priorities

Panel 2: Public Company Disclosure, Private Funds Enforcement, and Technology Issues

Financial Reporting and Accounting Fraud Investigations and Enforcement Actions
Asset Management Enforcement Priorities
The Future of Cryptocurrency Enforcement
Cybersecurity Rules, Interpretations and Enforcement
The Future of AI Enforcement

Panel 3: Investigative Practices, Cooperation, Parallel Proceedings and Current Trends.

Cooperation and self-reporting: Have the incentives changed?
Regulation by enforcement: Recent practices, impact on business and current trends.
Anticipating and avoiding enforcement risk in the current climate.
Evolving Wells and pre-Wells processes at the SEC.
Insider trading investigations and enforcement.
Parallel investigations and best practices for defense counsel and the government.
Whistleblower issues and the continuing role of whistleblowers in government and internal investigations.
The potentially increased role of State AGs and other agencies in securities and white-collar matters

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