Kara Novaco Brockmeyer is the Chief of the Foreign Corrupt Practices Act Unit of the SEC’s Enforcement Division in Washington, D.C. In that role, she oversees nationwide investigations into violations of the anti-bribery and accounting provisions of the federal securities laws. Ms. Brockmeyer also is the co-head of the Division’s Cross Border Working Group, a proactive risk-based initiative focusing on U.S. companies with substantial foreign operations. She is one of the principal authors of the joint SEC-DOJ Resource Guide to the U.S. Foreign Corrupt Practices Act. Prior to becoming Chief of the FCPA Unit, Ms. Brockmeyer served as an assistant director in the division, where she supervised a broad range of SEC investigations, including investigations into FCPA violations, accounting fraud, market manipulation, public offerings, misconduct by regulated entities, and insider trading. She is the recipient of numerous awards, including the SEC’s Capital Markets Award and the Irving M. Pollack Award. Before joining the SEC, Ms. Brockmeyer was in private practice with a large law firm in Chicago, primarily focused on securities and complex commercial litigation.
John C Dwyer is the partner in charge of Cooley LLP’s Palo Alto Office and Co-Chair of the firm’s national Securities Litigation practice. He has successfully represented a wide range of public companies and their officers and directors in actions arising under federal and state securities laws. He regularly represents such clients in civil actions as well as in investigations and proceedings brought by the Securities and Exchange Commission and the U.S. Department of Justice. Recently, he secured a major victory for Rigel Pharmaceuticals resulting in an important decision by the U.S. Court of Appeals for the Ninth Circuit with important implications for all publicly-traded life science companies. Mr. Dwyer is regularly recognized by major publications, including Chambers, Lawdragon and Best Lawyers in America. Most recently, he was named one of Northern California’s “Super Lawyers” in four categories: antitrust, securities litigation, commercial litigation and “Bet the Company” litigation. Prior to joining Cooley, from January to December 1997, Mr. Dwyer served as the Acting Associate Attorney General for the United States Department of Justice, the third highest post in the DOJ. From 1993 to 1997, he served as Deputy Associate Attorney General and was a senior advisor to Attorney General Janet Reno.
Michael M. Farhang is a partner in the Los Angeles office of Gibson, Dunn & Crutcher LLP. He is a member of the White Collar Defense and Investigations and Securities Litigation Practice Groups, and he handles general civil and criminal matters. Mr. Farhang has tried more than 25 cases in government and private practice. He has been involved in FCPA matters in countries throughout the world. He has repeatedly been recognized as a leading litigator by The Best Lawyers in America, and has been recognized multiple times as a “future star” in litigation in Institutional Investor’s Benchmark Litigation Guide. He was recently named one of the most influential white collar attorneys in Los Angeles by the Los Angeles Business Journal and was profiled in Latin Lawyer’s 2013 Anti-Corruption Survey for his experience handling FCPA matters in Latin America. Mr. Farhang is a frequent speaker and published author on a variety of white collar, FCPA and securities litigation issues. Between 1996 and 2003, Mr. Farhang served with the United States Department of Justice as a federal prosecutor. He is a recipient of the U.S. Department of Justice’s U.S. Assistant Attorney General’s Award for Furthering U.S. Interests Overseas and was awarded the Burton Award for Distinguished Legal Writing at the U.S. Library of Congress in Washington, D.C.
Michele Wein Layne has been the Director of the SEC’s Los Angeles Regional Office since July 2012. She joined the SEC in 1995. From 2005 to 2012, Ms. Layne served as Associate Director of Enforcement of the Los Angeles Region. During her tenure at the SEC, Ms. Layne has worked on many significant enforcement cases involving a wide variety of securities law violations. Among the cases in which she has played a leadership role was the enforcement action against Countrywide CEO Angelo Mozilo that resulted in the largest SEC penalty ever paid by a public company’s senior executive at the time, and the CSK Auto matter that marked the SEC’s first-ever Sarbanes-Oxley Act “clawback” case against an individual who was required to return bonuses and stock profits while not personally charged for the company’s misconduct. Ms. Layne received the SEC’s 2009 Distinguished Service Award, the agency’s highest honorary award. Before joining the SEC staff in 1995, Ms. Layne was in private practice for 11 years where her practice concentrated on complex business litigation.
James Park is a Professor of Law at UCLA School of Law. His teaching and research interests include securities regulation and corporate law. Before joining the UCLA Law faculty, Professor Park was a member of the Brooklyn Law School faculty. Professor Park clerked for Judge John G. Koeltl of the U.S. District Court, Southern District of New York, and then for Judge Robert A. Katzmann, U.S. Court of Appeals for the Second Circuit. Following his clerkships, Professor Park was an associate at Wachtell, Lipton, Rosen & Katz and then served as an Assistant Attorney General in the Investor Protection Bureau of the New York State Attorney General’s Office. He is the author of numerous articles on securities law and corporate law.
Cynthia M. Patton serves as the Senior Vice President and Chief Compliance Officer at Amgen Inc. and is responsible for Amgen’s Worldwide Compliance and Business Ethics Organization, as well as the Privacy and Records Information management organizations. Ms. Patton joined Amgen in 2005, and served as the lead commercial lawyer for both the oncology and inflammation business units and then as a vice president in the Amgen law department with responsibility for commercial legal activities in the United States. Before joining Amgen, she spent seven years as general counsel of SCAN Health Plan, a California Health Maintenance Organization (HMO). Prior to SCAN, Ms. Patton served as assistant general counsel of UniHealth. She began her legal career at Atlanta-based Alston & Bird in 1986 and has worked at Los Angeles law firms specializing in healthcare corporate and securities law.
Bryan Pitko is the Special Counsel in the Office of Healthcare and Insurance in the SEC’s Division of Corporation Finance. Mr. Pitko is primarily responsible for reviewing public securities filings and reports by companies in the healthcare, insurance, and pharmaceutical industries for compliance with applicable disclosure requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934. In his role as Special Counsel, Mr. Pitko also manages the confidential treatment program by which companies may request to omit information that is otherwise required to be disclosed in public filings and reports. Mr. Pitko joined the SEC’s Division of Corporation Finance as an attorney in 2008. He received his law degree from American University Washington College of Law and his B.A. in Political Science from Tufts University.
David J. Schindler is a partner in the Los Angeles office of Latham & Watkins LLP and was formerly global Chair of the firm’s White Collar Defense and Investigations Practice. His practice focuses on the defense of white collar and government investigations, healthcare fraud and abuse, intellectual property, e-commerce, business litigation and civil litigation. Mr. Schindler has conducted internal investigations and represented companies, boards of directors and individuals in connection with trials, ancillary proceedings and government investigations involving a wide array of criminal, quasi-criminal and regulatory matters. Mr. Schindler has conducted numerous FCPA investigations around the world for a broad array of companies, including pharmaceutical companies and medical device manufacturers. Mr. Schindler is recognized as a leading white-collar crime and government investigations litigation attorney in numerous publications including, his Band 1 recognition by Chambers USA, the 2014, 2013, 2009 and 2008 editions of The Legal 500 US, where he was recognized for his trade secrets and white collar litigation work, and his 2013 recognition by Euromoney as a “Life Sciences Industry Star.” He was also named “Outstanding Healthcare Fraud and Compliance Lawyer” by Nightingale’s Healthcare News in 2007 and 2005. Prior to joining Latham, Mr. Schindler was senior litigation counsel and the computer fraud and telecommunications coordinator for the Los Angeles United States Attorney’s Office. He served on the Attorney General’s Advisory Committee Working Group on Computer Crime and he handled numerous high-profile prosecutions.
Diana Tani is an Assistant Regional Director in the SEC’s Los Angeles Regional Office and Division of Enforcement’s Market Abuse Unit. As Assistant Regional Director, Ms. Tani supervises attorneys and accountants responsible for investigating possible violations of the federal securities laws. Ms. Tani has been an Assistant Regional Director since 1994, supervising a wide array of matters, including insider trading, misconduct of broker-dealers and investment advisers, market structure issues, and issuer disclosure, accounting fraud and auditing failures.
Thomas Zaccaro is a founding partner of the Los Angeles firm Zaccaro Morgan LLP. Mr. Zaccaro focuses his practice on civil, commercial and criminal litigation in state and federal courts with a special emphasis on defending corporations and executives in government investigations and other criminal and regulatory proceedings. In 2014, Mr. Zaccaro was named an MVP in White Collar Defense by Law 360 for his successful defense at trial of the former CEO of sTec, Inc., in an insider trading case filed by the SEC. Mr. Zaccaro has also been regularly selected as a Southern California Super Lawyer in Securities Litigation and listed in “Best Lawyers in America.” Earlier in his legal career, Mr. Zaccaro was the Chief Trial Counsel of the Securities and Exchange Commission’s Los Angeles Regional Office, where he was responsible for the management and supervision of all enforcement litigation conducted within the Los Angeles Region. Mr. Zaccaro also served as an assistant U.S. Attorney for the Southern District of New York (July 1988-November 1994) and as a Trial Attorney at the Department of Justice, Organized Crime and Racketeering Section (November 1994-November 1995).