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Lessons Learned From Recent AML Enforcement Actions

SKU: FR5800
Available In:
General Credits
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Attend this CLE program to hear a discussion on hot legal cases and enforcement actions impacting AML programs. Does your AML program meet evolving expectations and address emerging money laundering risks? Join FINRA staff and industry experts as they review hot legal cases and enforcement actions impacting AML programs. Panelists will cover critical regulatory concerns, potential vulnerabilities, and how you can address any pitfalls in your AML program.

After attending this session, you will be able to:

    Review key microcap enforcement actions and microcap trends.
  • Discuss various methods firms can take to mitigate risk.
  • Learn tips on due diligence.
  • Discuss compliance issues associated with these activities.

Lecturer Bios

Emily P. Gordy

Emily P. Gordy is Executive Vice President, Deputy General Counsel at LPL Financial, with responsibility for regulatory affairs (Regulatory Inquiries & Investigations, Regulatory Counseling, and the Special Investigations Unit). Prior to joining LPL, Ms. Gordy was a partner at the law firm of Shulman Rogers. Ms. Gordy was a financial regulator for 27 years. As an SVP in FINRA’s Enforcement Department, she held a variety of positions, including Deputy/Home Office Enforcement and Head of Regional Enforcement. Prior to joining Enforcement, she advised the District Offices on legal and policy issues impacting the examination program. Prior to joining FINRA, Ms. Gordy spent 13 years with the SEC, primarily with Enforcement, Office of Chief Counsel. At the time of her departure, she was serving as Deputy Chief Counsel. Ms. Gordy is a graduate of the Washington College of Law / American University and Gettysburg College. She was selected as one of The National Law Journal’s 2015 Regulatory & Compliance Trailblazer honorees.

Laura Leigh Blackston

Laura Leigh Blackston is Senior Regional Counsel with FINRA’s Enforcement Department. Ms. Blackston joined FINRA as an attorney in 2002. Prior to joining FINRA, she was an associate and partner with the General Litigation group of the law firm Jones Walker. As Senior Regional Counsel, Ms. Blackston has handled key enforcement actions regarding anti-money laundering and has co-taught Anti-Money Laundering Regulation at FINRA’s Institute at Wharton. Ms. Blackston graduated from the University of Mississippi in 1988 with honors and received her J.D. Degree from Washington and Lee University with honors in 1992. She is also a member of FINRA’s Anti-Money Laundering Regulatory Expert Group and is Certified Anti-Money Laundering Specialist (CAMS).

Elizabeth Paige Baumann

Elizabeth Paige Baumann has been the Senior Vice President and Chief Anti-Money Laundering Officer at Fidelity Investments since June 1, 2012. Ms. Baumann has oversight responsibility for the AML programs of Fidelity’s non-U.S. entities. She actively represents Fidelity from an AML perspective in various industry groups, including the Securities Industry and Financial Markets Association (SIFMA) and the Investment Company Institute (ICI). She has been a member of Fidelity's Enterprise Compliance Department since September 1999. Her first role was to support National Financial Services LLC's clearing business on a variety of compliance issues. Ms. Baumann has played a key role in the AML programs of all of Fidelity's U.S. financial institutions covered under the Bank Secrecy Act of 1970, as amended, and related regulations (collectively, the "BSA") since April of 2002. Ms. Baumann served as the co-chair of SIFMA's AML and Financial Crimes Committee January 2011 through December 2013. She also represented the ICI on several sub-committees of the Bank Secrecy Act Advisory Group (BSAAG), which consists of representatives from federal regulatory and law enforcement agencies, financial institutions, and trade groups with members subject to the BSA. Prior to Fidelity, Ms. Baumann worked at Charles Schwab in San Francisco for 6 years. She earned her J.D. from the Tulane School of Law and her B.A. from Trinity College in Hartford, Connecticut. Ms. Baumann is a member of both the California and Massachusetts bars.

Jeffrey Horowitz

Jeffrey Horowitz is Managing Director and Chief Compliance Officer for Pershing LLC, a BNY Mellon company, and is a member of BNY Mellon’s Risk and Compliance Operating Committee. Mr. Horowitz previously served as the Chief Anti-Money Laundering (AML) and OFAC Officer for Pershing, where he was responsible for the development and implementation of the firm’s global AML Program across the Pershing enterprise. Mr. Horowitz has represented Pershing as a securities industry representative to the U.S. Treasury Department’s Bank Secrecy Act Advisory Group (BSAAG) and was also a past co-chair of the Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering Committee. He has also served as the BSAAG co-chair of the Securities and Futures Subcommittee. Mr. Horowitz is an active member of the International Council of Securities Association group on AML and the Foreign Account Tax Compliance Act (FATCA), and serves on the Florida International Bankers Association AML Compliance Conference Advisory Committee as well the Association of Certified Anti- Money Laundering Specialists Annual AML & Financial Crime Conference Task Force. Mr. Horowitz currently represents Pershing on SIFMA’s Compliance and Regulatory Policy Committee. Prior to joining Pershing, Mr. Horowitz was a director and Head of AML Compliance for Citigroup’s Corporate and Investment Banking Division in North America. His responsibilities included the Institutional Sales and Trading Departments of Citigroup Global Markets Inc., Investment Banking, Global Relationship Banking and Global Transaction Services. Prior to joining Citigroup, Mr. Horowitz held several senior compliance roles at Lehman Brothers, Goldman Sachs and Salomon Brothers Inc. He began his career at the Federal Deposit Insurance Corporation (FDIC) in the Division of Resolutions. Mr. Horowitz earned a bachelor’s degree in economics from Trenton State College. He has also completed the Securities Industry Institute® program, sponsored by the Securities Industry and Financial Markets Association, at the Wharton School of the University of Pennsylvania.

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