MAIN STREET, WALL STREET, AND K STREET:

                 REGULATING FINANCIAL MARKETS IN NEW YORK AND BEYOND

                          Thursday, October 8, 2009, from 11 a.m. — 6 p.m.

           Albany Law School, 80 New Scotland Avenue, Albany, New York 12208

                                  Dean Alexander Moot Courtroom

OVERVIEW:

The symposium will focus on the regulation of the financial industry—including financial industry professionals, products and institutions—in the wake of the economic crisis. Panelists will discuss the existing regulatory regime and proposals for regulatory reform and how to achieve consumer protection while simultaneously supporting financial innovation and sound business practices, among other topics. This event is free and open to the public, and is presented by the Albany Law Review.

 

SYMPOSIUM AGENDA:

11:30 a.m. — 1:00 p.m.: Exploring our Dual System of Financial Regulation

2:30 p.m. — 4:00 p.m.: Our "Patchwork" Regulatory Scheme—Problems & Solutions

Note:  In order to best accomodate our panelists, the symposium agenda is subject to minor changes.  Additional programming is also in the works.  This website will reflect any changes. 

 

SPEAKERS:

 

Marcia D. Alazraki '76 

Partner, Manatt Phelps & Phillips LLP 

 

Marcia D. Alazraki is a partner at Manatt Phelps & Phillips, and serves as co-chair of the firm's insurance law practice  (New York, NY).  Ms. Alazraki specializes in insurance regulatory law, including the financing, acquisition and licensing of insurance companies, insurance product design, reinsurance transactions, and market conduct and financial examination advice.   Ms. Alazraki previously served as Deputy Superintendent at the New York State Department of Insurance and as Assistant Counsel to the Governor. Ms. Alazraki’s full biography is available HERE.

 

Jay Balacek '92

Senior Vice President and Associate General Counsel, JP Morgan Chase & Co.

Jay Balacek, Senior Vice President and Associate General Counsel at JP Morgan Chase & Co (New York, NY). Mr. Balacek leads an office of fifteen in responding to government and self-regulatory organization inquires of JP Morgan Chase and its clients. Mr. Balacek was previously with the Bank of New York for two years. From 2001 to 2005, Mr. Balacek served as an Assistant U.S. Attorney in Washington, D.C. Prior to that, Mr. Balacek was within the Enforcement Division of the SEC. Mr. Balacek began his career in private practice at Rogers and Wells.

 

Michael V. Campbell

Assistant Vice President and Counsel, Bank Supervision and Markets Division, Federal Reserve Bank of New York

Michael Campbell, Assistant Vice President and Counsel in the Bank Supervision and Markets Division at the Federal Reserve Bank of New York (New York, NY).  Mr. Campbell’s areas of responsibility cover bank and bank holding company regulation, consumer law, privacy law and corporate governance.  Mr. Campbell was responsible for organizing the Privacy Law Group, an independent body sponsored by the Federal Reserve Bank of New York that serves as a forum for discussing privacy-related matters.  Mr. Campbell serves as Chair of the New York City Bar’s Committee on Banking Law.

 

Gerard Citera

Counsel, Davis Polk & Wardell LLP

Gerard Citera serves as counsel in the financial institutions group at Davis Polk, and as a senior lawyer in the firm’s broker-dealer and market regulation practice (New York, NY).  Mr. Citera previously served as an Executive Director at UBS Securities, Deputy General Counsel at Paine Webber Securities and in both the Division of Market Regulation and the Office of General Counsel at the SEC.  Mr. Citera’s full biography is available HERE.

 

Mary Ann Gadziala '78

Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities & Exchange Commission

Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations at the U.S. Securities & Exchange Commission (Washington, DC). Ms. Gadziala heads up the inspection and examination programs for investment banks and stock exchanges to enforce compliance with federal securities laws. Following the terrorist attacks in 2001, she joined forces in New York with other regulatory and industry officials to reopen the markets and thereafter assumed a leading role in business continuity planning and anti-money laundering. She has also served as Senior Adviser and Associate Director in the Division of Market Regulation, and Senior Counselor to the Chairman at the SEC. Prior to joining the SEC, Ms. Gadziala was Assistant General Counsel for Banking and Finance at the Treasury Department and started her career as an attorney in the General Counsel’s Office of the Federal Reserve Board.  

 

Majorie Gross

Deputy Superintendent of Banks and Counsel, New York State Banking Department

Majorie Gross is the Deputy Superintendent of Banks and Counsel, New York State Banking Department (New York, NY).  Prior to her current appointment, Ms. Gross was Senior Vice President and Regulatory Counsel at The Bond Market Association, the international trade association for the bond market industry.  From 1989 to 2004, Ms. Gross was a Senior Vice President and Associate General Counsel of JPMorgan Chase Bank and its predecessors, and before that worked in the legal departments of Irving Trust Company and Bankers Trust Company.  Ms. Gross began her legal career with the law firm of Debevoise & Plimpton.  Ms. Gross’ full biography is available HERE.

 

John F. Malitzis

Executive Vice President, Division of Market Surveillance, NYSE Regulation

John F. Malitzis is the Executive Vice President, Division of Market Surveillance, for NYSE Regulation.  Mr. Malitzis oversees the surveillance of trading in NYSE-listed securities by member firms, and monitors for compliance by member firms with NYSE rules and the federal securities laws.  Previously, Mr. Malitzis was a Senior Vice President and Associate General Counsel for the Institutional Equities Division of Citigroup Global Markets, Inc.  From 1995 to 2003, he was employed by the NASD/The Nasdaq Stock Market, in the General Counsel’s office and later in transaction/market services.  Prior to joining the NASD, Mr. Malitzis was a trial attorney for the Commodities Futures Trading Commission and a law clerk at the U.S. Department of Labor.  Mr. Malitzis also has taught at the Catholic University, Columbus School of Law.  Mr. Malitzis’ full biography is available HERE. 

 

William Renahan '94

Director and Associate Counsel, Legg Mason

William Renahan is a Director and Associate Counsel at Legg Mason (New York, NY).  Prior to joining Legg Mason, Mr. Renahan served as an Assistant Counsel with Citigroup Asset Management.  Prior to joining Citigroup, Mr. Renahan was with Paul Hastings, in New York.

 

Elizabeth Renuart

Assistant Professor of Law, Albany Law School

Elizabeth Renuart, Assistant Professor of Law at Albany Law School. Prior to joining the faculty at Albany Law School, Professor Renuart served as an attorney with the National Consumer Law Center in its Boston office where she focused on consumer credit issues, truth in lending, banking law, and sustainable homeownership issues. She co-authored two of NCLC’s treatises, Truth In Lending and The Cost of Credit: Regulation, Preemption, and Industry Abuses and two other books, Stop Predatory Lending: A Guide for Legal Advocates (2d ed. 2007) and Foreclosure Prevention Counseling: Preserving the American Dream (2d ed. 2009). She also has authored several journal articles related to these topics. She was a member of the Consumer Advisory Council to the Federal Reserve Board from 2001-2003. Prior to joining NCLC, Ms. Renuart was the managing attorney of a legal services program in Baltimore that provided representation to homeowners in danger of losing their homes.  Ms. Renuart's full biography is available HERE.

 

Elizabeth Shea Fries

Partner, Goodwin Proctor LLP

Elizabeth Shea Fries is a partner in the business law department at Goodwin Procter, and chair of the firm’s hedge funds practice (Boston, MA).  Ms. Fries has particular expertise in innovative investment products, hedge funds and other alternative investments, financial services merger and acquisition transactions, fiduciary issues and compliance matters.  Ms. Fries’ full biography is available HERE.

 

Rossie E. Turman III

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

Rossie E. Turman III, Partner in the Banking and Institutional Investing group for Skadden, Arps, Slate, Meagher & Flom, LLP & Affiliates (New York, NY). Mr. Turman’s corporate law practice focuses on principally representing investment banks, commercial banks and other financial institutions as lenders. Mr. Turman’s institutional clients have included Blackrock, The Blackstone Group, Credit Suisse, Goldman Sachs, ING and Quadrangle Group LLC.  Mr. Turman's full biography is available HERE.

 

Grace B. Vogel

Executive Vice President, Member Regulation, Financial Industry Regulatory Authority (FINRA)

Grace B. Vogel is the Executive Vice President, Member Regulation, for the Financial Industry Regulatory Authority (FINRA) (New York, NY).  Prior to joining FINRA, Ms. Vogel was the Executive Vice President of Member Firm Regulation at the New York Stock Exchange.  Ms. Vogel joined the NYSE from Citigroup, Inc. where she worked from 2001 to 2004, serving as Deputy Controller.  Prior to joining Citigroup, Ms. Vogel served in various financial roles at JP Morgan, from 1992 to 2001, including the Chief Accounting Officer of JP Morgan & Co. Inc. and the Chief Financial Officer of JP Morgan Securities Inc.  Ms. Vogel was with the NYSE from 1979 to 1992 as managing director, Member Firm Regulation.   Prior to her work at the NYSE, she was a senior examiner at NASD.  Ms. Vogel’s full biography is available HERE.

 

CONTACT:

For more information, please contact Jeremy Cooney '10, Executive Editor for Symposia, at 518-445-3306 or jcooney@albanylaw.edu.

 

 

Upcoming Albany Law Review Events

Chief Judge Jonathan Lippman to Moderate Symposium on Wrongful Convictions: 

On March 4, 2010, the Albany Law Review will host its fourth annual Chief Judge Lawrence H. Cooke State Constitutional Commentary Symposium on Wrongful Convictions: Understanding and Addressing Criminal Injustice.  As keynote speaker and moderator, New York Court of Appeals Chief Judge Jonathan Lippman will lead a discussion on the origins of and modern solutions to wrongful convictions.  This timely event follows Chief Judge Lippman's recent appointment of a permanent task force on wrongful convictions at the New York Court of Appeals.  For additional information and a current list of speakers, please click HERE.

Date: Thursday, March 4, 2010

Time: 11 a.m. — 1 p.m.

Location: Albany Law School, DAMC

 

Albany Law Review News

Albany Law Review Publishes Issue 73.1

The Albany Law Review is pleased to announce the publication of issue 73.1.  For more information on the current issue, please click HERE.

Albany Law Review Publishes Biannual E-Newsletter

To facilitate contact with alumni, faculty, staff, students, and the broader legal community, the Albany Law Review publishes a biannual E-Newsletter.  This publication highlights current developments of the Law Review, as well as recent successes of our alumni.  If you want to receive the E-Newsletter, or have content you would like included please contact Rachel Clattenburg at RClattenburg@albanylaw.edu.