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How the Regulators and Prosecutors are Responding to Turbulent Times

The Tufts Financial Network hosted its third event of the year on June 16th at the InterContinental The Barclay New York. Professor Dan Richards of the Tufts Economics Department moderated a panel discussion entitled “Economic Upheaval and Financial Frauds: How the Regulators and Prosecutors are Responding to Turbulent Times.” Three of the four panelists brought first hand knowledge as either regulators or prosecutors of financial fraud while the fourth panelist offered the perspective of financial institutions now facing greater scrutiny from state and federal government.

Lending their voices to the debate were Steven Feldman, A92, lead partner in the White Collar Defense practice of Herrick, Feinstein LLP and former Assistant United States Attorney for the Southern District of New York; Bruce Karpati, A92, Assistant Regional Director in the Enforcement Division in the New York Regional Office of the Securities and Exchange Commission and head of the Commission’s Hedge Fund Working Group; Michael Rogal, A91, Senior Counsel in the Enforcement Department at the Financial Industry Regulatory Authority; and Steven Weiss, A92, general counsel, chief administrative officer, and chief compliance officer for the Roosevelt Investment Group.

Attendees were able to continue the discussion with all panelists and the moderator at a networking reception immediately following the program.