From August 2008 until August 2013, Troy A. Paredes was a Commissioner at the U.S. Securities and Exchange Commission, having been appointed by President George W. Bush. Paredes served throughout the financial crisis and as the SEC implemented the Dodd-Frank Act.
Paredes serves as Distinguished Policy Fellow and Lecturer at the University of Pennsylvania Law School and, as a consultant, he advises companies on financial regulation, corporate governance, regulatory enforcement, private litigation, and governmental affairs. He is a Senior Strategy & Policy Advisor at PwC.
Before his government service, Paredes was a professor of law at Washington University in St. Louis and a professor of business (by courtesy) at Washington University’s Olin Business School. Earlier in his career, Paredes practiced law as a corporate lawyer.
Paredes is the author of numerous academic articles on financial regulation, corporate governance, innovation, and behavioral economics. He also is a co-author (beginning with the 4th edition) of a multi-volume securities regulation treatise with Louis Loss and Joel Seligman entitled Securities Regulation.
Paredes holds a bachelor’s degree in economics from UC Berkeley and earned his JD from Yale Law School.
Kent Greenfield is Professor of Law and Law Fund Research Scholar at Boston College Law School, where he teaches and writes in the areas of business law, constitutional law, decision making theory, legal theory, and economic analysis of law. He is the past Chair of the Section on Business Associations of the American Association of Law Schools. In addition, he is the author of the book The Myth of Choice, published in 2011 from Yale University Press, Prunsoop Publishing (in Korean), and BiteBack Publishing (UK). He is also the author of the book "The Failure of Corporate Law” published by University of Chicago Press.
Greenfield also has had journal articles published in the Yale Law Journal, the Virginia Law Review, the Boston College Law Review, the George Washington Law Review, and Constitutional Commentary, among others.
Greenfield has lectured in 36 states, 9 countries, and at over 100 institutions (including Harvard, Yale, Brown, Stanford, the University of Chicago, the University of Michigan, and the London School of Economics). His opinion essays have appeared in the New York Times, the Washington Post, the Boston Globe, the Atlantic, the Washington Monthly, the American Prospect, Salon, and the Nation.
Greenfield is a graduate of the University of Chicago Law School, where he graduated with honors and was awarded membership into the honorary society Order of the Coif. He also served as Topics and Comments Editor of the University of Chicago Law Review. He received an A.B., with highest honors, from Brown University, where he studied economics and history.
Dr. Colleen Baker is a lecturer at the College of Business, University of Illinois Urbana-Champaign and a consultant at the Federal Reserve Bank of Chicago. She has also taught classes at the University of Notre Dame Law School, Villanova Law School, and the Wharton School of the University of Pennsylvania. She is an expert in banking and financial institutions law and regulation with extensive knowledge of over-the-counter derivatives regulation, clearinghouses, Dodd-Frank, and bankruptcy areas. Her research has been published in places such as the University of Notre Dame Law Review, the Arizona Law Review, the Michigan Journal of Law Reform, the Harvard Business Law Review Online, and Columbia Law School’s Blue Sky Blog. Colleen received a JD/MBA from the University of Virginia and a PhD from the Wharton School of the University of Pennsylvania.
Sean J. Griffith
Professor Griffith is an expert in corporate and securities law. He has taught at the University of Connecticut School of Law and at the University of Pennsylvania Law School. A graduate of Sarah Lawrence College, Professor Griffith received his law degree magna cum laude from the Harvard Law School, where he was an editor of the Harvard Law Review and a John M. Olin Fellow in Law and Economics. Prior to entering academia, Professor Griffith worked as an associate in the corporate department of Wachtell, Lipton, Rosen & Katz in New York, focusing on public company mergers and acquisitions.
Eric J. Pan is Associate Director of the Office of International Affairs at the U.S. Securities and Exchange Commission where he oversees international regulatory policy. He represents the SEC in the Financial Stability Board, International Organization of Securities Commissions, OTC Derivatives Regulators Group, US-EU Financial Markets Regulatory Dialogue, and various other multilateral and bilateral fora and supervises the SEC’s international regulatory policy staff. Before joining the SEC, Eric was on the faculty of the Benjamin N. Cardozo School of Law in New York, conducting research on financial regulation, corporate law, securities law and international law, and director of The Heyman Center on Corporate Governance. He also was an Associate Fellow in International Economics and International Law at Chatham House in London. Eric is a member of The American Law Institute and a recipient of the SEC’s Law and Policy Award.
Joshua T. White is an Assistant Professor of Finance at the Terry College of Business, University of Georgia. Professor White’s research focuses on the role of securities regulation and disclosure in addressing information asymmetries and agency or moral hazard problems between capital market participants. He has published articles in the Journal of Financial Economics, Journal of Accounting and Economics, and the Journal of Corporate Finance.
Prior to serving in his current position, Professor White was a Financial Economist from 2012 to 2014 in the U.S. Securities and Exchange Commission’s Division of Risk and Economic Analysis in Washington, D.C. In this role, Professor White conducted economic analysis of rules pertaining to or amending Credit Risk Retention (Dodd-Frank Act), Regulation A offerings (JOBS Act), Well-Known Seasoned Issuers (Securities Offering Reform), and disclosure in the over-the-counter markets (Rule 15C2-11). Professor White also coauthored an SEC White Paper on Qualified Residential Mortgages that is cited by the Board of Governors of the Federal Reserve System, U.S. Department of Housing and Urban Development, Federal Deposit Insurance Corporation, Federal Housing Finance Agency, Office of the Comptroller of the Currency, and the U.S. Securities and Exchange Commission in rules pertaining to risk retention and disclosure in asset-backed securities. For this analysis, Professor White received an SEC Director’s Award for Outstanding Work. Professor White received a B.S. (2007), M.B.A. (2008), and Ph.D. (2012) in finance from the University of Tennessee, Knoxville. He currently teaches Applied Corporate Finance, Project and Enterprise Valuation.
Panel: Regulation and Compliance in Financial Markets
Julissa Reynoso is the former United States Ambassador to Uruguay. Ms. Reynoso also served as Deputy Assistant Secretary of State for Central American, Caribbean and Cuban Affairs in the US Department of State. Prior to joining the US Department of State, Ms. Reynoso practiced at a major international law firm, where she specialized in antitrust law, international commercial arbitration and international investment arbitration. Ms. Reynoso has extensive policy and legal experience throughout Latin America, engaging both as a lawyer in private practice and as a senior US diplomat on behalf of the US government. Her legal experience includes analyzing and advising on complex cross-border transactions and conducting complex arbitrations under the major international rules, including ICC and UNCITRAL, and bilateral investment treaty disputes under the Dominican Republic-Central America Free Trade Agreement (DR-CAFTA).
Thomas Nelli is a Managing Director at Morgan Stanley in the Wealth Management Compliance Department. As a member of the Compliance department since 1986, Thomas has covered virtually every aspect of retail brokerage compliance including Branch Examinations, Surveillance, Policies and Procedures, Futures, Employee Trading and Registration. He has also served as the Firm’s Compliance Registered Options Principal and Chair of the Heightened Supervision Committee. Tom currently heads the Investment Products and Services Compliance group which provides coverage for Morgan Stanley’s Investment Advisory, Research, Equity, Futures, Options and Fixed Income businesses.
Tom graduated from Brooklyn College with a BS in Psychology in 1985, and holds a Masters in Negotiation and Dispute Resolution from Creighton University.
Michael Martinez is a partner in Mayer Brown’s New York office and a member of the Litigation & Dispute Resolution and White Collar Defense & Compliance practices. Previously, he was the Executive Assistant US Attorney in the US Attorney’s Office for the District of New Jersey, the office’s third-highest ranking position. He was responsible for reorganizing, developing, and managing the office’s white collar programs, supervising 145 attorneys in all criminal and civil cases brought by the office, and coordinating with partner investigative agencies and the US Justice Department’s Civil Division in investigating and prosecuting white collar cases. Under Mike’s leadership, the office established its first-stand alone Health Care and Government Fraud Unit, which secured the convictions of more than 150 defendants and recovered hundreds of millions of dollars in settlements, fines, and restitution. He played a key role in directing the office’s investigations and prosecutions of health care fraud, securities fraud, government-contracting fraud, FCPA, FIRREA, and cyber-security cases. During Mike’s 11-year career with the US Attorney’s Office, he successfully tried numerous cases, including the case against Walter Forbes, former chairman of Cendant Corporation, which resulted in a 12-year sentence for the largest accounting fraud of the 1990s. Mike is also an experienced appellate attorney, having briefed or argued dozens of cases before the US Court of Appeals for the Third Circuit. Mike graduated from Yale Law School and Brown University, and he clerked for the Honorable Samuel A. Alito, Jr. in the US Court of Appeals for the Third circuit.