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Enforcement Initiatives, Developments and Priorities: 2019-2020 Update

SKU: FIN8200
Total Credits
1 - 1.2
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This CLE will highlight some of the changes that Enforcement has recently implemented to its business process. Panelists will also discuss developments and trends in enforcement, including enforcement priorities and the principles that guide Enforcement’s decision-making. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices. Panelists will also provide information and insight on navigating enforcement investigations and the disciplinary process. Upon completion of this CLE, you will be able to: Summarize key principles that guide Enforcement outcomes, including risk-based decision-making, restitution to customers, and avoiding regulatory duplication. Discuss recent Enforcement matters and how they reflect FINRA’s priorities, including individual liability and credit for extraordinary cooperation.Understand and implement effective responses to regulatory inquiries and rule violations.

Lecturer Bios

Susan Schroeder, Esq.

Susan Schroeder is the Deputy Chief of FINRA’s Department of Enforcement, responsible for Enforcement’s home office in New York. Prior to joining FINRA, she was a partner in WilmerHale’s Securities Litigation and Enforcement practice, where she specialized in SEC, FINRA, and state enforcement actions. She began her legal career as a litigation associate at Kirkland & Ellis. She received her J.D. from NYU School of Law, her M.A. from the University of California at Davis, and her B.A. from Georgetown University. She is a member of the New York bar.

Elizabeth Hogan, Esq.

Elizabeth Hogan is Senior Vice President in FINRA’s Market Regulation Enforcement department. Ms. Hogan joined FINRA in 2018. Prior to that, Ms. Hogan was in the Securities Litigation and Enforcement Practice Group at WilmerHale. Her practice focused on regulatory investigations, enforcement actions and litigation concerning compliance with the federal securities laws, as well as equities market structure issues, including high frequency, algorithmic, and complex trading systems. Before joining WilmerHale in 2006, Ms. Hogan was a law clerk for The Honorable Jack B. Jacobs, Delaware Supreme Court. Ms. Hogan received a Bachelor of Arts degree in Foreign Affairs from the University of Virginia and her J.D. from American University, Washington College of Law.

Ashley Bashur, Esq.

Ashley Bashur is a Counsel in the Securities Litigation and Enforcement practice group in WilmerHale’s DC Office. Ms. Bashur’s practice focuses on complex securities enforcement matters. She has represented public issuers, broker-dealers, banks, and individuals in investigations and enforcement proceedings before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and other self-regulatory organizations and governmental agencies. Ms. Bashur has experience representing clients in investigations across a broad spectrum of subject matters, including market structure issues pertaining to high-frequency trading, market-making, and alternative trading systems; manipulative trading; whistleblower retaliation; sales practices; insider trading; and compliance with regulatory requirements for broker-dealers and banks, such as the market access rule, Reg NMS, Reg U, and data retention rules. Ms. Bashur also has a dedicated pro bono practice. She volunteers at the DC Bar’s Landlord Tenant Resource Center, has represented indigent defendants in criminal appeals, and has submitted amicus curiae briefs to the United States Supreme Court on behalf of non-profit organizations. Ms. Bashur received her J.D., summa cum laude, from the University of Baltimore School of Law and received her B.A. in Political Science from Dickinson College.

Dean Jeske

Dean Jeske is Senior Vice-President and Associate General Counsel at LPL Financial, where he manages regulatory investigations and advises the business on a variety of regulatory issues. Prior to joining LPL, Mr. Jeske was as long-time partner at Foley & Lardner LLP, where he regularly advised broker-dealers and other financial services clients in connection with enforcement matters by the SEC, FINRA and other SROs. From 2012-2016, Mr. Jeske served as the Deputy Regional Chief Counsel in the Midwest Region for FINRA’s Department of Enforcement, where he supervised investigations and prosecutions of enforcement actions against broker-dealers and associated persons.

Christopher Kelly

Christopher Kelly serves as the Regional Chief Counsel for the North Region of FINRA’s Enforcement Department. As Regional Chief Counsel, Mr. Kelly oversees the work of the Enforcement Staff in the Boston, New Jersey, and Philadelphia District Offices. Prior to joining FINRA, Mr. Kelly served as Deputy Chief of the Criminal Division at the U.S. Attorney’s Office for the District of New Jersey. In that role, Mr. Kelly supervised more than 35 Assistant U.S. Attorneys in the Office’s white collar units: Economic Crimes, National Security, Healthcare and Government Fraud, and Cybercrime.

Prior to his promotion to the position of Deputy Chief, Mr. Kelly served as the Chief of the Economic Crimes Unit at the U.S. Attorney’s Office, where he oversaw the Office’s prosecution of complex economic crimes, including crimes involving insider trading, securities fraud, tax evasion, bank fraud, corporate fraud and embezzlement. Mr. Kelly also served as the lead prosecutor on several complex matters, including U.S. v. Tiger Asia, one of the first ever criminal prosecutions of a hedge fund. Mr. Kelly graduated from Duke University and Harvard Law School. Prior to joining the U.S. Attorney’s Office, he was an associate at the law firm Dechert LLP. Mr. Kelly also clerked for the Honorable Joseph E. Irenas, U.S. District Court Judge for the District of New Jersey.

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