Alex MogliaMoglia Advisors | Schaumburg, IL
Alex D. Moglia has been successful as an M&A advisor, chief restructuring officer, financial advisor, litigation expert witness, state and federal receiver, bankruptcy trustee, liquidating trustee, assignee for the benefit of creditors, and fraud recovery expert. Prior to founding Moglia Advisors, Alex held executive positions with Continental Illinois National Bank and CNW Corporation, the later a publicly traded company with finance, transportation and manufacturing operations. Initially, he was an international attorney with Winston & Strawn, before leaving the practice of law in 1983.
Alex is an Emeritus member of the Board of Directors of the National Association of Federal Equity Receivers. He is a member of the panel of bankruptcy trustees in Chicago, and serves as bankruptcy trustee throughout the United States. He is a member of INSOL International, and a former member of the Board of Directors of AeroCare, an international air transportation carrier of patients and transplant organs. He was a member of the Board of Directors of the American Bankruptcy Institute, and founded and chaired its Finance & Banking Committee.
He has a Juris Doctor degree from the University of Chicago Law School and attended the University of Chicago Graduate School of Business. He has a Bachelor of Science of Foreign Service from Georgetown University, Washington, D.C. Alex was born in Argentina, lived in Brazil, and has worked on projects involving the Americas, Europe, Asia and Africa. He is fluent in Spanish, Portuguese, and French, and has working knowledge of Italian. Alex is an avid soccer fan.
Alysson MillsMills & Amond, LLP | New Orleans, LA
Alysson Mills is a partner of the law firm Mills & Amond, LLP.
Alysson’s practice is diverse. She represents businesses in all forms of litigation and clients of all backgrounds in cases implicating the First Amendment. She is a member of the Criminal Justice Act Panel and represents indigent criminal defendants in federal courts. She volunteers her professional time to causes that are important to her.
A large part of Alysson’s practice is dedicated to appeals. She has represented clients in the U.S. Supreme Court; several federal courts of appeals; and the Mississippi and Louisiana Supreme Courts. She regularly argues in the U.S. Court of Appeals for the Fifth Circuit.
Alysson is the court-appointed receiver in Securities & Exchange Commission vs. Adams, et al., No. 3:18-cv-252 (S.D. Miss.), and charged with recovering money for victims of Mississippi’s largest Ponzi scheme.
Outside the office, Alysson teaches First Amendment and media law at Tulane University and serves on several civic boards.
Amy LongoSEC | Los Angeles, CA
Amy Jane Longo is the Regional Trial Counsel for the U.S. Securities and Exchange Commission’s Los Angeles Regional Office, where she both supervises and first-chairs federal court litigation to enforce the federal securities laws, as well as prosecuting SEC administrative proceedings. Representative matters include, for example, actions for financial fraud, insider trading, offering frauds, Ponzi schemes, trading suspensions, market manipulation, and actions against investment advisers, brokers, accountants, attorneys, and other regulated entities and individuals. Prior to joining the SEC, Amy was a litigation partner in a global law firm, practicing in the areas of securities and financial services litigation and electronic discovery.
Bikram BandyFTC, Bureau of Consumer Protection
Bikram Bandy is the Chief Litigation Counsel for the FTC’s Bureau of Consumer Protection. In that role, he advises the Bureau Director on litigation matters and provides legal, strategic, and tactical advice to case teams investigating and litigating consumer protection cases. He is also the Bureau’s point person on addressing challenges the agency faces as a result of the Supreme Court’s recent decision in AMG Capital Management v. FTC. Before joining the FTC in 2012, Bikram was a partner at a major national law firm, where he worked on a variety of complex civil litigation matters. He obtained his undergraduate degree from Duke University and his law degree from the George Washington University Law School.
Chantal EikeyRehmann, Inc. | Grand Rapids, MI
Chantal Eikey is a consulting manager in Rehmann’s turnaround and restructuring practice, working with team members to develop creative solutions for troubled businesses, both domestic and international.
Chantal began her career at Rehmann in 2009 as an audit intern. She gained collections experience with an accounts payable audit company in 2010 before joining Rehmann’s turnaround and restructuring practice. Chantal has significant experience managing a company’s operations until sale, as well as ensuring orderly wind-down or liquidation on insolvent projects. She is also knowledgeable about and worked in both Federal & State Receiverships.
Chantal is a Certified Insolvency and Restructuring Advisor (CIRA); an industry recognition of her high degree of specialized knowledge in business bankruptcy and insolvency.
Daniel Seligman (Producer)Columbia Research Corp. | Seattle, WA
Daniel Seligman, an attorney-at-law and Certified Fraud Examiner, is the principal in the Columbia Research Corp. in Seattle, Washington. He has 40 years of combined experience as a lawyer, research analyst and journalist. He provides fact-finding, due diligence and investigative services for law firms, bankruptcy trustees, business trade associations and others. He currently serves as the chair of NAFER’s Publications Committee. www.danielseligman.com
David DoyleCozen O'Connor | Chicago, IL
David R. Doyle is a member of Cozen O’Connor and resides in the firm’s Chicago office. David represents receivers, bankruptcy trustees and assignees for the benefit of creditors in the Northern District of Illinois and jurisdictions across the country. Before private practice, he served as a law clerk to the Hon. Carol A. Doyle, Chief Bankruptcy Judge for the U.S. Bankruptcy Court for the Northern District of Illinois.
David StapletonStapleton Group | Los Angeles, CA
David P. Stapleton, a nationally-recognized federal receiver, trustee and restructuring expert, resolves complex problems caused by fraud, such as Ponzi schemes; non-performing commercial loans; and, shareholder disputes. In representing creditors, business owners and legal counsel, David quickly identifies the obstacles between the parties involved and implements actions to overcome impasses. His expertise spans federal equity receiverships; assignments for the benefit of creditors (ABCs); bankruptcy plan administration and liquidations; and, financial advisory.
Investors, lenders, creditors and attorneys turn to David for his strategic approach to maximizing financial recovery. He has led the successful resolution of over one hundred troubled business and real estate projects, exceeding his clients’ expectations numerous times.
David founded Stapleton Group in 2008 to provide clients with a single-source solution when faced with business or real estate-related investments, problem loans or shareholder disputes. He began his career as a CPA at PricewaterhouseCoopers, LLP, providing financial and restructuring services for Fortune 500 clients out of PwC’s New York, London, Frankfurt and Southern California offices. He then served as a director at a national provider of fiduciary services, and worked for a subsidiary of private equity firm Leucadia National Corporation where he managed acquisitions.
Eddy EspinosaAkerman LLP | Dallas, TX
Eduardo Espinosa is an experienced court-appointed fiduciary frequently recommended by regulators to serve in proceedings where there is concern that assets will be dissipated. A former enforcement lawyer with the U.S. Securities and Exchange Commission (SEC), Mr. Espinosa has served as receiver, receiver’s counsel, or trustee, in federal and state proceedings involving fraudulent securities offerings. He has particular experience with life settlements, EB-5 offerings and FOREX funds. In addition to his fraud and recovery practice, Mr. Espinosa advises clients on the legal and regulatory aspects of their commercial and transactional opportunities.
Gary CarisBarnes & Thornburg LLP | Los Angeles, CA
Gary Caris represents receivers and creditors in federal, bankruptcy and state courts.
Gary represents receivers who have been appointed in enforcement actions brought by various federal agencies, including the Federal Trade Commission, Securities and Exchange Commission, Consumer Financial Protection Bureau and Commodity Futures Trading Commission. He has represented federal equity receivers in more than 45 actions across the country.
In one such action, he successfully litigated contested civil contempt proceedings, which played a key role in the recovery of over $25 million in various assets diverted and hidden from the Receiver throughout the world, including in Belize and Latvia. In another, he acted as co-counsel in coordinated SEC and CFTC actions brought in connection with a $1.5 billion Ponzi scheme, assisting the Receiver in clawback litigation against winning investors which helped lead to investors receiving 100% recovery on their claims.
On appeal, he has successfully obtained orders affirming the Receiver’s recovery of assets paid to attorneys obtained from ill-gotten gains, FTC v. Assail, 410 F. 3d 256 (5th Cir. 2005) and holding that the District Court had ancillary jurisdiction in connection with litigation of state law claims against third parties Robb Evans & Associates LLC v. Holibaugh, 609 F. 3d 359 (4th Cir. 2010).
Gary also represents financial institutions and other creditors in complex bankruptcy litigation, reorganization proceedings and commercial litigation.
He is an active member of NAFER, in the past having served as a board member, and currently serving on the Best Practices and Amicus Committees.
Geoff Winkler (Producer)American Fiduciary Services LLC | Portland, OR
Geoff Winkler is a Founding Member and CEO of American Fiduciary Services LLC. Mr. Winkler leads a team of legal and financial industry professionals who specialize in managing complex investigations, forensic accounting, fiduciary and insolvency services, and securities litigation support. He has extensive experience testifying as an expert witness and has served as CFO and COO in dozens of State and Federal District Court receiverships, corporate monitorships, and in other cases as a fiduciary and insolvency expert. These roles included responsibility for: managing operations with up to thousands of employees; preparing, auditing, and/or restating financial statements per Generally Accepted Accounting Principles (GAAP) and SEC reporting requirements; instituting internal controls to prevent fraud and provide assurances in reporting; and turnaround and restructuring businesses. In addition, Mr. Winkler has initiated litigation against executive leadership, board of directors, and financial oversight committees for failure to execute the duties required by their fiduciary duty to the company, including failure to institute strong internal controls; provide oversight of financial reporting; and, ensure GAAP requirements are being met. Due to the varying nature of these assignments, Mr. Winkler works with a diverse team of experts that supplement his expertise based on the specific needs of a given case. Mr. Winkler’s experience includes leadership in large and complex fraud investigations and forensic accounting efforts in numerous industries including manufacturing, financial services, healthcare, capital leases, consumer services and retail sales.
Gregory GarnoGenovese Joblove & Battista, P.A. | Miami, FL
Gregory M. Garno practices in the areas of complex commercial litigation, banking litigation, professional malpractice, creditors’ rights, and bankruptcy. He represents major financial institutions, corporations, fiduciaries, individuals, and governmental agencies in significant complex litigation in both state and federal courts, in both jury and non-jury matters and arbitrations. His commercial litigation experience includes contract disputes, business torts, director liability and corporate and shareholder disputes, collection matters, insurance, receiverships and fraud actions.
Gregory is “AV” rated by Martindale-Hubbell, and has been recognized as one of South Florida’s “Up and Comers” and “Top Lawyers” by South Florida Legal Guide. He is a member of the National Association of Federal Equity Receivers (NAFER) and the trial section of The Florida Bar and a member of the Miami-Dade County Bar Association. Gregory is also an active member of the Children’s Home Society of Florida, where he is a marketing outreach coordinator for the “Champions for Children” campaign.
Gregory is a member of The Florida Bar and admitted to practice before the Federal General Bar for the U.S. District Courts for the Southern and Middle Districts of Florida, the U.S. Court of Appeals for the Eleventh Circuit, the Bankruptcy Bar for the Southern District of Florida and the U.S. Supreme Court.
He is a 1996 cum laude graduate of the University of Miami School of Law, where he was a member of the Business Law Journal. He earned a bachelor of science from Cornell University in 1993.
Henry SewellLaw Offices of Henry F. Sewell, Jr. LLC | Atlanta, GA
Henry Sewell focuses his practice in the areas of bankruptcy and restructuring while also maintaining a general commercial litigation practice.
With respect to bankruptcy and restructuring, Mr. Sewell has extensive experience representing debtors, creditors, creditors’ committees, trustees and examiners in complex Chapter 11 Bankruptcy Cases and in pre-bankruptcy workouts. Mr. Sewell has also represented financial institutions and secured creditors in state court enforcement actions, including actions to appoint receivers for commercial real estate and foreclosure actions. Mr. Sewell also regularly represents court appointed fiduciaries in SEC and CFTC enforcement actions.
In addition to his bankruptcy practice, Mr. Sewell has extensive experience handling commercial litigation matters, including trials, arbitrations and appeals in a wide variety of complex matters. Most recently, Mr. Sewell has handled complex and difficult disputes regarding real estate, breach of contract, business torts, and corporate governance.
Mr. Sewell has particular experience litigating disputes regarding governance and control of limited liability companies; disputes regarding title and claims to real estate; and extraordinary remedies including temporary restraining orders, preliminary and permanent injunctions and declaratory relief.
Mr. Sewell has been recognized by Chambers USA as one of Georgia’s leading lawyers for bankruptcy and restructuring and has been named a Georgia Super Lawyer since 2010 by Atlanta Magazine.
Hernan SerranoJ.S. Held LLC | New York, NY
Hon. Autumn SpaethU.S. District Court, Central District of California
Autumn D. Spaeth is a United States Magistrate Judge for the United States District Court, Central District of California. Judge Spaeth sits in Santa Ana, the Court’s Southern Division.
Prior to her appointment as a Magistrate Judge, Judge Spaeth was a founding partner of Smiley Wang-Ekvall, LLP. Her practice concentrated on business litigation and insolvency matters, with a specialization in bankruptcy related litigation. Judge Spaeth was an associate in the Trial Department of McDermott, Will & Emery, and a partner at Weiland, Golden, Smiley, Wang Ekvall & Strok, LLP, before joining Smiley Wang-Ekvall, LLP, when it formed in 2014.
Judge Spaeth is currently the Secretary of the Federal Bar Association, Orange County Chapter, and a member of the Ninth Circuit Public Information and Community Outreach Committee. She previously served as Chair of the Ninth Circuit Conference Executive Committee and on the Board of Directors of the Federal Bar Association, Orange County Chapter. Prior to taking the bench, Judge Spaeth served on the Ninth Circuit Lawyer Representatives Coordinating Committee, including as its Chair, and served as Co-Chair of the Central District of California Lawyer Representatives to the Ninth Circuit Judicial Conference. She served on the Board of Directors for the Orange County Bar Association, where she also served as Chair of the Commercial Law & Bankruptcy Section and the Legislative Resolutions Committee. In private practice, Judge Spaeth was an active member of a number of other bar organizations.
Judge Spaeth received her Bachelor of Arts in Political Science from the University of California Los Angeles. She graduated from the University of Southern California with a Juris Doctor from the Law School and a Master of Arts in Communication Management from the Annenberg School of Communication. In law school, Judge Spaeth served as a research and teaching assistant to (then) Professor Erwin Chemerinsky and as Notes Editor of the Southern California Law Review.
Hon. Darrin GaylesU.S. District Court, Southern District of Florida
Judge Darrin Gayles is a United States District Judge for the Southern District of Florida. President Barack Obama nominated Judge Gayles to the District Court on February 6, 2014. On June 17, 2014, the United States Senate unanimously confirmed Judge Gayles’ nomination by a 98-0 vote. Judge Gayles previously served for more than ten years as a judge of Florida’s 11th Judicial Circuit. Judge Gayles was appointed to the County Court of that circuit by former Florida Governor Jeb Bush in 2004. In 2011, former Florida Governor Charlie Crist elevated Judge Gayles to the Circuit Court, where he served until his federal appointment. Judge Gayles is also a leader and active participant in South Florida’s legal and civic communities. He is a former co-chairman of the 11th Judicial Circuit’s (Florida) Professionalism Committee. He is also an active volunteer in several of South Florida’s civic and charitable organizations, including Big Brothers/Big Sisters, 100 Black Men of South Florida, and the 5000 Role Models of Excellence Project. Judge Gayles is a graduate of Howard University and the George Washington University Law School.
Hon. David O. CarterU.S. District Court, Central District of California
David O. Carter is a United States District Judge of the United States District Court for the Central District of California.
Carter received his Bachelor of Arts degree, cum laude and his Juris Doctor in 1972 from the University of California, Los Angeles and UCLA School of Law, respectively. After graduating from college, Carter accepted a commission in the United States Marine Corps.
Carter began his legal career as an Assistant District Attorney with the Orange County District Attorney’s Office where he became the senior deputy district attorney in charge of the office’s homicide division.
In 1981, Carter joined the bench as a Municipal Court Judge in Orange County, California. One year later, he became an Orange County Superior Judge, a position that he held until joining the federal judiciary in 1998. He now sits in the Southern Division of the Central District of California in Santa Ana, California.
As a jurist, Carter is known for his intellect, courteous judicial demeanor, work ethic, and expertise in complex criminal cases. Although he is assigned to the Central District of California, Carter also regularly sits by designation in the United States District Court for the District of Idaho and on occasion in the United States Court of Appeals for the Ninth Circuit and in the District of Guam.
In addition to his judicial functions, Carter lectured fellow judges at the California Judges College, the Judicial Criminal Law Institute, and the Ninth Circuit Judicial Conference. He also speaks frequently with judges abroad, including engagements in Brazil, Bosnia, China, the Philippines, Central Asia, Pakistan, Afghanistan, and Malawi.
Carter teaches an undergraduate course on international narcotics trade at the University of California, Irvine, where he has received the school’s Distinguished Professors Award three times.
Ira BodensteinCozen O'Connor | Chicago, IL
Ira has a keen understanding of the trustee process and how to efficiently achieve the optimum resolution for the involved parties. He counsels bankruptcy clients on the necessity and timing of filing reorganization cases, and the rights of unsecured and secured creditors prior to and subsequent to bankruptcy filing. Ira is experienced in all facets of Chapter 11 reorganization cases, including preparing and confirming plans of reorganization in debtor cases, representing creditors’ committees, opposing debtors’ plans on behalf of creditors and representing creditors and debtors in preference and fraudulent conveyance litigation. He also counsels lenders on their rights as secured creditors. Ira is a member of the private panel of Chapter 7 bankruptcy trustees and also represents panel trustees. Ira has also served as a federal equity receiver in SEC and DOL actions and has represented federal equity receivers in SEC and CFTC actions.
Appointed by U.S. Attorney General Janet Reno, Ira served as the U.S. Trustee for Region 11, which includes the Northern District of Illinois and the state of Wisconsin, from May 1998 through January 2006. In that capacity, he served as head of the Justice Department’s component with primary oversight responsibility for all bankruptcy cases filed in Region 11.
In 2018, Ira was named an Illinois Leading Attorney by the Law Bulletin Publishing Company. He has an AV rating from Martindale Hubble and is listed in Who’s Who in America’s 70th Anniversary edition. Ira is a founding member and past president of the National Association of Federal Equity Receivers.
Ira earned his J.D. from the University of Miami School of Law and his B.A. from Franklin & Marshall College.
Jared PerezGuerra King P.A. | Tampa, FL
Jared Perez concentrates his practice on complex commercial litigation with a focus on financial services and securities matters, including securities fraud litigation, SEC and FINRA investigations, shareholder derivative litigation, and federal equity receiverships.
Martindale-Hubbell has rated Jared AV Preeminent®, which represents the “highest level of professional excellence for … legal knowledge, communication skills and ethical standards,” and Super Lawyers has designated him a “Rising Star” in business litigation from 2015 through 2019.
Jared is a member of the legal team representing the receiver appointed over Arthur Nadel’s $400 million Ponzi scheme. In that capacity, he helped to recover tens of millions of dollars for defrauded investors through dozens of cases in the United States District Court for the Middle District of Florida and before the Eleventh Circuit Court of Appeals. Jared has represented receivers appointed at the request of the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Federal Trade Commission, the Florida Office of Financial Regulation, and the Florida Attorney General’s Office. In addition to receivership work, Jared represents individuals and entities in securities fraud litigation, regulatory enforcement proceedings, and complex commercial litigation.
Jared is a Tampa native and graduated from Florida State University, cum laude, in 2002. He received his law degree in 2005 from Columbia Law School. At Columbia, Jared served as the Managing Editor of the Science & Technology Law Review. He also interned with the Rackets Bureau of the Manhattan District Attorney’s Office, the Hon. Robert Patterson, Jr., of the United States District Court for the Southern District of New York, and the Hon. Sonia Sotomayor, then of the Second Circuit Court of Appeals and, presently, a member of the United States Supreme Court.
Joe Grekin (Producer)Schafer and Weiner, PLLC | Bloomfield Hills, MI
Joseph Grekin is an experienced litigator, negotiator and counselor, with expertise in commercial, bankruptcy, receivership, and general insolvency issues. Mr. Grekin specializes in representing clients at a tactical or financial disadvantage, using creative and novel methods and arguments to fight tenaciously and professionally to achieve favorable results for his clients.
Mr. Grekin has represented businesses, individuals, and receivers for over twenty-five years in state, federal, bankruptcy, appellate, and administrative courts in several states. He has extensive experience managing large and complex files, including receiverships, bankruptcies, and commercial and bankruptcy litigation, relating to tens of millions of dollars.
Mr. Grekin has been a cutting-edge advocate in the field of debtor/creditor issues in the litigation context, and has successfully advocated for his clients in several published cases on a wide variety of issues. He has extensive trial experience on commercial and insolvency issues, which makes him an able negotiator and advisor not just in litigation, but in other commercial and bankruptcy venues as well, from business formation to insolvency counseling.
Mr. Grekin is a member of the National Association of Federal Equity Receivers, and re-created the dormant Debtor/Creditor Committee of the Oakland County Bar Association, becoming its initial chairperson. He speaks and writes regularly on business and insolvency issues.
Jonathan Perlman (Producer)Genovese Joblove & Battista, P.A. | Miami, FL
Jonathan E. Perlman is an equity partner and executive committee member at the Genovese Joblove & Battista Law Firm, with offices in Miami, Fort Lauderdale, Fort Myers, Tampa and Caracas, Venezuela, where he leads GJB’s Receivership, Class Action and Securities Litigation practice groups.
Mr. Perlman has served as a Federal Court-Appointed Receiver in actions brought by the SEC, FTC and Florida Attorney General, and is responsible for having recovered millions of dollars for victims of fraudulent schemes, including the Creative Capital investment Ponzi scheme, the 321 Loans massive fraudulent debt relief operation, the All Dreams scheme defrauding consumers with false promises of “free” vacations, the Hispanic Global Way fraudulent weight loss product scheme, and the World Patent Marketing invention promotion services scam.
Perlman sits on the board of directors of the National Association of Federal Equity Receivers (NAFER), where he also chairs NAFER’s Best Practices Committee and serves on its judicial outreach, annual conference and international committees. He is also a member of INSOL International.
In addition to administering receiverships, Perlman’s practice focuses on fraudulent and deceptive practices, securities, franchising and accessibility litigation matters. Perlman is “AV” rated by Martindale-Hubbell and is a member of the American Bar Association Forum on Franchising and the International Franchise Association. The Franchise Times has repeatedly named him a “Legal Eagle,” recognizing the top 100 U.S. franchising attorneys, and has also been recognized numerous times in Who’s Who Among U.S. Attorneys, and as a “Super Lawyer” in Super Lawyer.
JonMarc BuffaCommodity Futures Trading Commission | Washington, DC
JonMarc Buffa is a Senior Trial Attorney in the Office of Cooperative Enforcement at the U.S. Commodity Futures Trading Commission. Mr. Buffa engages in federal court prosecution of violators of the federal derivatives laws. He was the CFTC’s responsible counsel on the $7 billion fraud case CFTC v. Walsh (WG Trading). Mr. Buffa previously served as Special Counsel and Policy Advisor to former CFTC Commissioner Scott D. O’Malia where he advised the Commissioner on the implementation and promulgation of regulations pursuant to the Dodd-Frank Act. In addition to his work at the CFTC, Mr. Buffa is a longtime adjunct professor of law at Georgetown University Law Center. Prior to joining the CFTC, Mr. Buffa was an attorney at three major national and international law firms. He is a graduate of Notre Dame Law School and Boston College’s Carroll School of Management.
Jordan Maglich (Producer)Buchanan Ingersoll & Rooney PC | Tampa, FL
Jordan Maglich has a broad practice focused on complex commercial litigation, securities and financial services, and regulatory matters. Jordan often serves as counsel to receivers appointed in connection with regulatory enforcement actions brought by federal and state regulators including the Securities and Exchange Commission, Commodity Futures Trading Commission, Federal Trade Commission, and the Florida Office of Financial Regulation. Jordan also counsels individuals and entities that are the subject or focus of investigatory or enforcement proceedings by state and federal regulators.
Jordan regularly practices in state, federal, and bankruptcy courts in matters involving a wide variety of civil disputes and other business-related litigation. Jordan also has significant experience in arbitration forums, including the Financial Industry Regulatory Authority (FINRA). In addition to defending broker-dealers and their associated persons named in FINRA proceedings by customers and/or departing associated persons, Jordan has also obtained various affirmative relief including injunctive relief to prevent non-customers from proceeding in arbitral forums as well as the recovery of transition and incentive payments to departed or terminated associated persons.
He has extensive experience in fraud matters and wrongdoing involving financial malfeasance. Drawing on this experience, Jordan is the founder and editor of Ponzitracker, which tracks the proliferation of Ponzi schemes and provides regular analysis on the topic. Jordan is regularly sought out by local and national media sources for comment on various matters involving Ponzi schemes and financial services, and his commentary has been featured in The Wall Street Journal, The New York Times, CNBC, and other media.
Kathryn WannerSecurities and Exchange Commission | Los Angeles, CA
Katy is a Trial Counsel for the U.S. Securities and Exchange Commission’s Los Angeles Regional Office, where she manages federal securities litigations and SEC administrative proceedings. In the past years, Katy has brought five emergency actions, three of which have resulted in court appointed receivers. Before joining the SEC as a staff attorney in 2016, Katy was an associate in the white collar defense practice at Paul Hastings in Los Angeles.
Kathy Bazoian PhelpsRaines Feldman LLP | Los Angeles, CA
Kathy Bazoian Phelps has been a lawyer since 1991 and is currently a partner at Raines Feldman LLP in the Los Angeles office. In addition to individually serving as a fiduciary in certain matters, Kathy practices in the area of insolvency law, fiduciary representation, and fraud litigation, where she represents federal equity and state court receivers and bankruptcy trustees. Kathy frequently serves as special litigation counsel for fiduciaries and interested parties in fraud-related litigation, cases arising out of receivership and bankruptcy as well as parallel criminal and civil forfeiture proceedings. She is particularly knowledgeable about the administration of Ponzi scheme cases and has extensive litigation experience in claims arising in these types of cases.
Kathy has lectured widely and written on bankruptcy and receivership matters, with a focus on Ponzi schemes. Her book entitled The Ponzi Book: A Legal Resource for Unraveling Ponzi Schemes, co-authored with Hon. Steven Rhodes, has garnered national and international attention as the authoritative work on Ponzi scheme law.
In addition to her roles as lawyer, speaker and author, Kathy also serves as a mediator and is currently on the mediation and arbitration rosters for the Financial Industry Regulatory Authority, as well as the Bankruptcy Mediation Panel for the Central District of California and the Bankruptcy Mediation Panel for the District of Arizona.
Kathy’s personal interests and accomplishments include extensive travel and the study of the Chinese Mandarin language.
Kenton Johnson (Producer)Robb Evans & Associates LLC | Pasadena, CA
Since January 1996, Mr. Johnson has been a member of Robb Evans and Associates LLC. Mr. Johnson works with the other members of the organization to administer and carry out the daily activities of more than 300 receiverships and liquidations that the firm is managing or has completed. Case management includes commercial and industrial, multi-family and residential property management and sales, fraud investigation, asset tracing, asset enhancement, management and liquidation, and supervision of litigation. Industries and types of businesses include manufacturing, contracting, health care, shopping centers, wholesale distribution, multi-level marketing, worldwide Internet and credit card commerce, and the U.S. agency of an international bank.
Mr. Johnson is a current director and past Co-Chair of the California Receivers Forum. He has participated as a speaker and panelist at Loyola Receivership Conferences in Los Angeles. Mr. Johnson is a founding member and current director of NAFER and participates on committees and as a panelist at annual conferences.
Kevin DuffRachlis Duff & Peel, LLC | Chicago, IL
Kevin Duff begins his term as President of NAFER at the 2018 Annual Meeting. Mr. Duff is a member of Rachlis Duff Adler Peel & Kaplan, LLC, a commercial litigation law firm in Chicago, Illinois. He has trial and appellate experience in a variety of complex commercial litigation and receivership matters. Mr. Duff has significant experience in litigation involving Ponzi scheme and other similar illegal, illicit, fraudulent, and sham transactions, including pursuing a spectrum of remedies to recover money and other assets from defendants and third-parties in such circumstances. He serves as a receiver and receiver’s counsel in actions brought by the SEC, CFTC, and private litigants.
Krista FreitagE3 Advisors | Los Angeles, CA
Since co-founding E3 Advisors in 2011, Ms. Freitag and E3 have provided federal and state receivership, trustee and advisory services for more than 80 projects located throughout the United States. Such projects represent various asset classes including retail, hospitality, multi-family and single-family residential, assisted-living facilities, quick-service restaurants, industrial facilities, and raw land. Ms. Freitag has served as Receiver for retail assets alone exceeding $300 million of asset value. She has also served as Monitor and Receiver in several United States Securities and Exchange Commission, Federal Trade Commission and Consumer Financial Protection Bureau cases exceeding $650 million of fraudulent activity.
Prior to founding E3 Advisors, Ms. Freitag served as Managing Director and Consultant for Douglas Wilson Companies for nearly nine (9) years. Ms. Freitag provided project management, asset management, property management, accounting, forensic accounting, financial analysis, and homeowner’s association services for dozens of clients, real estate assets and operating businesses throughout the United States. She provided project management services for receivership assets exceeding $400 million of asset value and managed the disposition of nearly $100 million worth of retail and operating business assets.
Before joining Douglas Wilson Companies, she worked as an Investment Manager for Brio Investment Group, where she managed and analyzed a multi-million dollar private investment portfolio, which primarily included multi-family, boutique hotel and private equity assets.
Ms. Freitag holds a MS in Business Administration with a concentration in Finance from San Diego State University, a BS in Accounting from Northwestern Oklahoma State University, where she graduated Magna Cum Laude, and a Master Certificate in Essentials of Hospitality Management from Cornell University’s School of Hotel Administration.
Lynn DeanSecurities and Exchange Commission | Los Angeles, CA
Lynn M. Dean is a Senior Trial Counsel for the U.S. Securities and Exchange Commission’s Los Angeles Regional Office, where she is responsible for conducting federal court litigation and SEC administrative proceedings to enforce the federal securities laws. Representative matters include actions for financial fraud, insider trading, offering frauds, trading suspensions, market manipulation, and actions against investment advisers, brokers, accountants, and other regulated entities and individuals. Prior to joining the SEC, Lynn was an associate at Gibson, Dunn in Los Angeles.
Maria Yip (Producer)Yip Associates | Miami, FL
Maria M. Yip is the founder and managing partner of YIP ASSOCIATES, a firm specializing in forensic accounting, financial investigations, receiverships and other fiduciary roles, bankruptcy related matters and valuations. Ms. Yip also serves as the firm’s Fiduciary Services Practice Leader. The firm serves its clients from offices in Florida, New York and New Jersey. Ms. Yip has previously worked for Price Waterhouse, Arthur Andersen, and led the forensic accounting practice for Florida as a partner at Grant Thornton prior to founding Yip Associates in 2008. Yip Associates is certified as a minority-owned and women-owned firm (M/WBE).
Ms. Yip is a Florida certified public accountant (CPA), certified fraud examiner (CFE), certified insolvency and restructuring advisor (CIRA) and is certified in financial forensics (CFF).
Ms. Yip is a sitting United States Bankruptcy Panel Trustee and Subchapter V Trustee in the Southern District of Florida. She also serves as a court-appointed receiver, examiner, liquidating trustee, custodian and assignee for the benefit of creditors. Ms. Yip has significant experience marshaling and securing assets and identifying potential causes of action to provide recoveries for creditors and investors. Ms. Yip has also served as accountant and financial advisor to receivers appointed in numerous SEC, CFTC and FTC matters.
Ms. Yip has more than 25 years of experience serving as a forensic accountant and expert witness. Clients include attorneys, receivers, bankruptcy trustees and governmental agencies. She regularly serves as an expert witness in Federal and State court, international litigation and arbitration matters.
Mark DottoreDottore Companies LLC | Cleveland, OH
Mark’s more than 30 years of management, business and financial experience are regularly applied in crisis situations which complement a value added approach focusing on efficiency and asset preservation. As a gifted negotiator, mediator and advisor, Mark’s talents are often sought by business, civic and political organizations.
Mark Dottore holds an Honorary Doctor of Humane Letters from Myers University, and is a professional member of the Northeast Ohio Network of International Women’s Insolvency and Restructuring Confederation, the National Association of Federal Equity Receivers, the Turnaround Management Association, and Community Mediation Services of Central Ohio.
Mark has been appointed as receiver in over 100 cases ranging from local residents facing personal crises to multi-layered cases reaching international proportions. Mark engages each case and client with diligence and personal care, whether it can be resolved in days or a decade.
Mark was recently selected as Master Commissioner, United States District Court for the Northern District of Ohio, appointed by the Chief Judge of the United States District Court as Representative of the Court for a new federal foreclosure program and appointed to the Magistrate Selection and Reappointment Commission of United States District Court.
Melanie Damian (Producer)Damian & Valori, LLP | Culmo Trial Attorneys | Miami, FL
Ms. Damian represents public and private companies and individuals in a variety of complex business and securities litigation. She regularly serves as court-appointed Federal Equity Receiver, Special Monitor, and distribution Agent, and also serves as Receiver and Monitor in state court matters. Ms. Damian also serves as counsel to Receivers serving in both state and federal court. She counsels companies on corporate governance matters and serves as counsel to special litigation committees performing internal investigations in response to shareholder derivative demands. She also represents officers and directors in corporate and securities litigation matters, and various partners or members in closely held “business divorce” matters.
Ms. Damian is a Past Chair of the Business Law Section of The Florida Bar, President of the International Women’s Forum (IWF) Florida Chapter. And, current Chair of the NAFER Regulatory Outreach Committee.
Melanie L. CyganowskiOtterbourg PC | New York, NY
Former Chief Bankruptcy Judge Melanie L. Cyganowski joined Otterbourg P.C. as a partner in 2008, after serving a full 14-year term as a Bankruptcy Judge in the Eastern District of New York. From November 29, 2005 through the end of her term, she was the Court’s Chief Judge. After graduating magna cum laude from the School of Law at the State University of New York at Buffalo, Melanie served as a law clerk to the late Hon. Charles L. Brieant, former Chief Judge in the Southern District of New York. Following her clerkship, Melanie was a litigator at Sullivan & Cromwell, and Milbank, Tweed, Hadley & McCloy.
Melanie presently chairs Otterbourg’s Bankruptcy practice. She was recently appointed Receiver in SEC v. Platinum Partners, an alleged billion dollar fraud. She has also represented Official Committees of Unsecured Creditors in bankruptcy cases, including Escada and Quirky. Her other fiduciary appointments include (a) Chief Restructuring Officer and Temporary Operator of Brooklyn’s Interfaith Medical Center, a 287 bed acute care teaching hospital with ambulatory and out-patients clinics in the surrounding Bed-Stuy neighborhood, and (b) Patient Care Ombudsman in Orianna Health Systems, 21st Century Oncology and California Proton. Melanie has also represented the FDIC as Receiver in various bankruptcy cases; has served as the Auditor in connection with a consent judgment in a national matter; and is an arbitrator/mediator in numerous disputes, including Madoff, Lehman, Quebecor and Metaldyne. Last fall she mediated a dispute involving 19 State Attorney Generals and the Chapter 7 Trustee in ITT involving the issue of retention of student records.
In 2014, Melanie was inducted as a Fellow into the American College of Bankruptcy. An author of numerous articles, she sits on the Editorial Advisory Board of the Norton Journal of Bankruptcy Practice & Law. Melanie is also a Fellow of the American and New York State Bar Foundations, and an adjunct professor of law at St. John’s University School of Law.
Michael NapoliAkerman LLP | Dallas, TX
As a court-appointed receiver and counsel to receivers and trustees, Michael Napoli works to maximize the value of insolvent entities in order to make a fair and equitable distribution to creditors. His experience covers a variety of industries with an emphasis on life settlements. Outside of the insolvency arena, Michael protects individuals and companies facing lawsuits. He works closely with his clients to create practical, business solutions to litigation problems. Representing both plaintiffs and defendants, Michael works on a wide variety of cases including securities, commercial, and products liability matters.
Michael maintains an active pro bono practice involving, among other things, assisting parents in obtaining the return of their children under the Hague Convention on the Civil Aspects of International Child Abduction.
Naim SurgeonStroock & Stroock & Lavan LLP | Miami, FL
Naim Surgeon is an experienced first chair trial lawyer, and serves as chief counsel in several federal equity receivership matters. He maintains a nationwide federal and state litigation practice representing clients in class action defense, securities and investment-related fraud, intellectual property matters, antitrust claims, higher education litigation, labor and employment defense, and defense of Helms-Burton Title III claims.
Naim has also arbitrated general business disputes before JAMS, the AAA, and the ICC. As chief counsel to a Federal Equity Receiver, he has worked on behalf of the Receiver to unravel high-profile investor fraud, EB-5 fraud, and obtain successful recoveries on behalf of the receivership estate and those victimized by fraud.
Naim manages all aspects of the administration of the receivership estate along with coordinating matters concerning the estate with Federal agencies and the District Court.
Paula DurhamJ.S. Held LLC | Phoenix, AZ
Ms. Durham has over 20 years of experience in receivership management, fraud and FCPA investigations, regulatory compliance, and operations. Ms. Durham has managed receiverships in regulatory matters brought by the FTC, as well as numerous state court receiverships. In addition, Ms. Durham has assisted multiple clients in analyzing and responding to inquiries from federal, state, and local regulatory agencies related to, among other things, contracting practices (including FCPA and ITAR inquiries), billing practices and rates, and incurred cost submissions.
In addition to her work in compliance and receivership matters, Ms. Durham has extensive experience in the cannabis industry, having served as the Director of Operations and Compliance for a vertically integrated cannabis enterprise. Her cannabis experience also includes management of multiple receiverships involving cannabis operators and other cannabis related businesses.
Richard FoelberCFTC, Office of Cooperative Enforcement | Washington, DC
Richard Foelber currently holds the position of Chief of the Office of Cooperative Enforcement at the U.S. Commodity Futures Trading Commission. Mr. Foelber engages in joint prosecutions involving unlawful derivatives and securities practices with other federal and state criminal and civil agencies. In connection with these prosecutions, Mr. Foelber has served as lead trial counsel in CFTC civil prosecutions and as a Special Appointed Assistant U.S. Attorney in related federal criminal cases. Mr. Foelber previously served as Chief Trial Attorney in the CFTC’s Division of Enforcement and Counsel to the Chairman of the CFTC. He also served as a Special Counsel in the U.S. Senate where he worked on legislation reforming the laws governing the financial markets. Prior to joining the CFTC, Mr. Foelber engaged in financial litigation and appellate practice with a law firm in Chicago.
Ritu Bhasinbci Consulting, Inc. | Toronto, Canada
Ritu Bhasin [RIH-thoo bah-SEEN], LL.B., MBA, President of bhasin consulting inc., is an award-winning speaker, author, and globally recognized expert in diversity and inclusion, women’s advancement, and authentic leadership.
Since 2010, Ritu has delivered leadership training, coaching, and advisory services across sectors, working with top organizations and senior leadership teams around the world to develop inclusive cultures. Ritu is known for her expertise in cultural competence, unconscious bias, and neuroscience strategies, and has coached hundreds of professionals, leaders, and executives to be more inclusive. A passionate advocate for authenticity, inclusion, and empowerment,
Ritu’s Amazon-bestselling book, The Authenticity Principle: Resist Conformity, Embrace Differences, and Transform How You Live, Work, and Lead, was released in the fall of 2017. In the same year, Ritu also co-authored a ground-breaking research study, called Sponsor Effect: Canada, with the Center for Talent Innovation, which examines the experiences that people of colour, Indigenous peoples, and women have with advocacy and sponsorship in the workplace.
Before founding bci, Ritu spent ten years in the legal profession, first as a civil litigator and then as the director of legal talent for a preeminent Canadian law firm.
Ritu, who is also an avid yoga and mindfulness teacher and practitioner, lives in Toronto, Canada, but travels all over the world to eat, swim, hike, dance, and work. To learn more about Ritu, visit http://www.ritubhasin.com. Follow Ritu on social media @ritu_bhasin.
Robert Mosier (Producer)Mosier & Company, Inc. | Costa Mesa, CA
Robert P. Mosier is President and Chief Executive Officer of Mosier & Company. His specialty since 1974 has been turnarounds and dissolutions. Total Court assignments exceed 600 cases in a variety of capacities ranging from President and CEO, Chief Responsible Officer, Receiver, Trustee, Examiner, Examiner with Expanded Powers, and Provisional Director. He has served as the Court’s own Referee, Special Master, and Expert Witness.
Mr. Mosier has also served as a court-approved President & CEO of two Chapter 11 Debtors. Mr. Mosier is also a frequent lecturer on the subject of Receivership and insolvency.
Ron PetersonJenner & Block LLP | Chicago, IL
RONALD R. PETERSON is a Partner in the law firm of Jenner & Block LLP in Chicago, Illinois. He concentrates his practice in the areas of commercial, insolvency and bankruptcy law. Mr. Peterson has presided over numerous complex commercial cases, including Stotler & Co., the country’s 10th largest commodities house, and Lancelot Investors Fund, L.P., a $1.7 billion Ponzi scheme. He is the Chairman of the Creditors’ Committee in Thomas J. Petters, a $3.5 billion Ponzi scheme. Mr. Peterson served as the examiner in the chapter 11 case of Robert Lund, a large real estate developer.
Mr. Peterson has been a member of the panel of Chapter 7 Trustees for the Northern District of Illinois, Eastern Division, since 1987. He is the immediate past President of the National Association of Bankruptcy Trustees.
Mr. Peterson is a fellow of the American College of Bankruptcy and a member of the American Bankruptcy Institute. He is a member of the Business Bankruptcy Committee of the Business Law Section and the Bankruptcy Litigation Committee of the Litigation Section of the American Bar Association. He is a member of the International Association of Restructuring, Insolvency & Bankruptcy Professionals and the Commercial Law League of America. In 2014, the Commercial Law League of America awarded Mr. Peterson the Lawrence P. King Award.
Rosemary HollingerPartner Up LLC | Barrington Hills, IL
She graduated from Georgetown University Law Center and practiced law for over 30 years as a legal aid attorney, an associate in a law firm and finally as an enforcement attorney and manager for the US government. Rosemary started at the US Commodity Futures Trading Commission as a trial attorney and eventually headed the Enforcement Division in the Chicago Regional Office for 16 years and served as the Chicago Regional Administrator for 9 years. During her time at the CFTC she personally handled numerous Ponzi scheme and other retail fraud cases. She has spoken at several international regulator conferences on the investigation and prosecution of commodity fraud and taught regulators in Thailand, Jamaica, Ethiopia, Taiwan, Chile and Columbia. More recently, she has become an International Coach Federation associate certified coach, and she is currently in training to become a certified ADHD coach. Rosemary is married, has 3 sons and enjoys skiing, hiking, biking, photography and travel.
Ryan BakerDouglas Wilson Companies | Irvine, CA
Ryan Baker has extensive regulatory receivership, operating company and real estate receivership experience. He has been appointed on or managed 80+ Receiver, Provisional Director, Trustee and Partition Referee cases. These projects and appointments include regulatory matters, operating companies and real estate.
Mr. Baker has been involved with assisting in a number of regulatory receivership appointments originating from the Securities and Exchange Commission, Department of Justice and State Courts. Mr. Baker has directly managed the operations and provided financial oversight for companies and properties with gross revenue ranging from $700k to $15 million. His experience includes management, financial oversight and forensic accounting.
In the real estate arena, Mr. Baker has managed a wide variety of residential and commercial properties ranging from a four-plex apartment building in Missouri, to a 40-unit retail center, to a 180,000 square-foot commercial building in central California. The duties involved with these properties varied depending upon the Court’s direction. Tasks ranged from the simple collection of rents to the more involved forensic accounting of books and the oversight of ground lease and sale negotiations. At the Court’s direction, Mr. Baker has sold and managed residential and commercial properties ranging from the straightforward to the complex. His responsibilities included forensic accounting of books, and the
oversight of rents, ground leases, and sale negotiations.
Mr. Baker earned an MBA at the University of Southern California and an undergraduate degree in Economics from New York University. He currently participates in receiver and insolvency education courses sponsored by the Forum and Loyola Law School.
Shawn ChristiansonBuchalter Nemer, A Professional Law Corporation | San Francisco, CA
Shawn M. Christianson focuses her practice on insolvency, receiverships, and complex litigation with an emphasis on technology related issues. She represents financial institutions, secured and unsecured creditors, technology companies, receivers, and bankruptcy trustees. Her practice spans the state, federal and bankruptcy courts, as well as out of court proceedings and mediation. She argued, at every level from the trial court through the Ninth Circuit, a seminal case on the topic of perfection of security interests in unregistered copyrights, In re: World Auxiliary Power.
Tara NorgardCarlson Caspers | Minneapolis, MN
Drawing on her extensive experience in complex litigation, technology, and business, Tara Norgard helps her clients leverage and defend their intellectual property inside and outside the courtroom. With a keen strategic view, and relentless attention to details that matter, Tara is a powerful advocate for each client she serves.
Tara focuses on intellectual property and high-stakes business litigation. She has secured victories in district and appellate courts and arbitrations across the country, and negotiated multimillion-dollar, client-favorable settlements in matters involving a wide spectrum of technologies, including medical devices, financial systems, radiation therapy systems, dental treatments, glass coatings, and consumer goods.
Tara serves as general counsel for the Receiver in the $190 million Trevor Cook Ponzi scheme, the second-largest fraud in Minnesota history, where she is leading the effort to repatriate assets from around the globe that were stolen under the guise of an international investment program.1 She also served as general counsel in the Inter-Mark receivership, where she oversaw the return of $26 million to individuals around the world.
Tara brings first-hand business experience to every matter she handles, having worked for a global consulting firm before becoming a lawyer. Prior to joining Carlson Caspers, Tara clerked for the Honorable Donald P. Lay of the United States Court of Appeals for the Eighth Circuit and practiced with Sidley, an international law firm headquartered in Chicago.
Ted Fates (Producer)Allen Matkins | San Diego, CA
Ted Fates is a partner in the San Diego office of Allen Matkins, a preeminent full-service business and real estate law firm with more than 200 attorneys throughout five offices in California. Ted has extensive expertise in handling all aspects of equity receiverships initiated by federal regulatory agencies, including pursuing litigation against professionals, financial institutions, and recipients of profits from fraudulent schemes. His clients include equity receivers appointed for various securities trading and investment firms, real estate and healthcare industry lenders, internet-based investment programs, and Ponzi schemes. Collectively, these entities raised more than $3.5 billion from their participants. His clients also include state court receivers appointed to manage or sell real estate and other business assets. In equity receiverships, Ted’s work often involves selling unique and complex assets—from movie rights, intellectual property, and luxury real estate, yachts, and cars to non-traditional manufacturing facilities and business operations. He handles negotiations, documents deals, and obtains court approval of sale transactions and advises on related contract and insurance coverage issues. Ted has handled cases involving tens of thousands of victim claims, establishing an orderly, efficient process for validating claims and resolving claim disputes, as well as obtaining court approval of distribution plans tailored to the unique equities of the case.
Thomas SeamanThomas Seaman Company | Irvine, CA
Thomas A. Seaman is Principal and sole shareholder of Thomas Seaman Company, a California corporation. Thomas Seaman Company provides business management services in civil matters which require a neutral third party to serve as receiver, referee, provisional director, Special Master, or administrator. Thomas Seaman Company was formed in 1996 and has the capability to manage and administer a broad range of asset classes including operating companies, financial assets, real property and construction projects.
Mr. Seaman has 40 years of business experience both in private industry and as a court appointed fiduciary. Mr. Seaman is a former CFO and Controller, and is a Chartered Financial Analyst (CFA). Mr. Seaman entered the insolvency arena in 1989 and has served as receiver in approximately 250 matters since formation of Thomas Seaman Company. He has operated distressed businesses that were the subject of a State Court Receivership, Chapter 11 Bankruptcy estate, Federal regulatory action, partnership dispute, partition action, dissolution proceeding, probate matter, or in other litigation requiring a fiduciary.
Thomas Seaman Company has operated companies in numerous industries including manufacturing, distribution, construction, healthcare, Assisted Living, service, restaurant, hospitality and others. Mr. Seaman is experienced at seizing assets, stabilizing operations, and formulating & implementing business solutions.
- Oct 21 - 23 2021
- All Day
2021 Annual Conference
The National Association of Federal Equity Receivers (NAFER) is the preeminent organization for federal equity receivers, their professionals, and others seeking to become involved in federal equity receivership work. NAFER is dedicated to providing excellent receivership education and networking opportunities and instilling confidence in those selecting NAFER receivers and their professionals.
NAFER is pleased to bring you its 10th Annual Conference in the beautiful Marina del Rey, CA where you will have the opportunity to reconnect with your fellow NAFER members, fellow receivers, their attorneys and other professionals, judges and regulators, and learn about trending issues in the receivership industry. This year the conference kicks off on Thursday, October 21 at 1:00 PM with education sessions and a welcome reception. Stay through until Saturday afternoon when our panel of esteemed judges will address key topics from pre-appointment of a receiver through dismissal.
This Annual Conference offers you an opportunity to engage with leading professionals by exhibiting your services and developing relationships with key decision makers. Your participation showcases your company’s commitment as a valuable business partner within our organization. We can’t have a successful conference without your key input and participation, so we’ve created multiple opportunities for contribution at every level.
Click HERE in box to download the 2021 Sponsor Catalog.
Continue scrolling to find the full conference Agenda below or click HERE for a printable Agenda at a Glance.
Our 10th Annual Conference will be held at The Ritz-Carlton, Marina del Rey, California. Colorful sunsets are accented by the masts of docked boats, and the interior design reflects a tranquility synonymous with southern California. Using its waterfront location as the backdrop, the hotel finds the perfect balance between business needs and personal pleasures. Brand-new meeting spaces, newly reimagined accommodations and the Sisley Spa are among the hotel’s most coveted amenities.
NAFER has secured a special rate of $329 for October 20-23. To ensure you receive these special rates, be sure to book your room before October 5th. Click HERE to make your reservations online at the host hotel. Reservations by phone can be made at: 1-800-542-8680 and referencing the NAFER Annual Conference.
NAFER is pleased to offer special flight discounts with Delta & United to all conference attendees.
Delta Air Lines is pleased to offer special discounts for National Association of Federal Equity Receivers. Please click HERE to book your flights. Alternatively, go to Delta.com and use the “Advanced Search” feature and enter NMUU6 in the Meeting Event Code field. You may also call Delta Meeting Network® at 1.800.328.1111* Monday–Friday, 7:00 a.m. – 7:30 p.m. (CT) and refer to Meeting Event Code NMUU6. *Please note there is not a service fee for reservations booked and ticketed via our reservation 800 number.
Discounts vary by departing location. To book travel online, go to United.com and use the “All Search Options” feature and enter ZK44-434311 in the Promotions and certificates field. Reservations may also be made by calling the United Reservations Meeting Desk at 800-426-1122. Please note an additional charge of $25.00 will be applied when booking by phone.
Terms & Conditions
All registered attendees of the NAFER 10th Annual Conference must agree to the Terms & Conditions including the Conference Duty of Care, Liability Waiver and Assumption of Risk, and Code of Conduct.
Click HERE to download a copy of the Annual Conference Terms & Conditions.
Conference materials will be available via the Conference APP and will be provided to all attendees in advance of the conference.
Full & Associate:
Young Professionals under age 40 receive 50% off above-rates.
*Consider a sponsorship package to gain more exposure!
Reception tickets for social guests:
Thursday Welcome Reception: $125.00
Friday Reception: $150.00
Two Receptions: $250.00
Young Professionals Happy Hour: $75.00 (for guests of YP attendees)
See Who Is Attending
Click HERE to see who is registered to attend!
Thursday, October 21, 2021
- 9:00 AM - 7:00 PM
- Registration Desk Open
- 1:00 PM - 1:30 PM
- Welcome Address & Opening Announcements
- NAFER President, Hernan Serrano kicks off the 10th Annual Conference.
- 1:30 PM - 2:30 PM
- What's New in the Law Governing Receiverships? Case Law Update
- Back by popular demand, this session will feature a recap of recent developments and decisions in the receivership context. From discussing favorable (or unfavorable) outcomes to monitoring changes in in related laws or statutes, this panel of attorneys aims to educate NAFER members about recent changes and how they affect each member’s practice. Learning Objectives: 1) Learn about new and recent developments in receivership jurisprudence; 2) Review and analyze specific recent important decisions or outcomes that may be instructive in your role, whether as a receiver, receiver’s counsel, or third-party professional; and 3) Understand how to stay abreast of changes in the law or new caselaw.
Speakers:Alysson Mills, Jordan Maglich (Producer), Kathryn Wanner, Ron Peterson
- 2:30 PM - 2:45 PM
- Break with our Sponsors
- 2:45 PM - 3:45 PM
- Lie to Me: Using Interview Skills to See Through the Lies and Find the Truth
- Receivers and their teams understand that interviewing witnesses is an important step to uncovering fraud and other hidden information that may lead to recovering additional assets for the estate. Whether due to time constraints or inexperience, some practitioners may not properly prepare for and execute the interview. Through hands-on demonstrations and audience participation, this panel will review well-established methods and techniques to help attendees master the interview process. Learning Objectives: 1) Prepare for the interview to ensure the best opportunity for success; 2) Conduct the interview in a manner designed to elicit crucial information; and 3) Interpret and understand the verbal and non-verbal information provided during the interview process.
Speakers:Chantal Eikey, David Doyle, Eddy Espinosa, Geoff Winkler (Producer)
- 3:45 PM - 4:00 PM
- Break with our Sponsors
- 4:00 PM - 5:15 PM
- First Days Checklist
- This panel will introduce, discuss, and talk about the Receiver’s Check List for New Appointments, a useful and helpful tool for new and experienced receivers. The panel will be talking about how to get the best possible benefit and assistance from using the Check List. The conversation format is interactive discussions among the panel and with the audience. Panel Members will discuss a selection of the 90+ recommended tasks and emphasize important steps or actions. Panel Members will also relate past difficulties from not knowing about certain important actions and invite experiences or comments from the audience. Panel members will also talk about difficulties or trouble avoided by referring to and completing actions included in the Check List. The panel will deliver a substantial amount of information to the audience. The delivery format is framed to promote interactive comments and discussion among the panel and invite questions and comments from the audience. The live audience will be able to submit questions electronically, or to present questions or interactive comments from the floor microphone. The goal of the panel presentation is to provide the audience not only information about the helpful and useful Receiver’s checklist, but also how to benefit from the recommendations. Additionally, the direct experiences the panel members discuss, including help from the Check List and trouble or difficulty from not having it, will provide an extra layer of interesting and useful content. Learning Objectives: 1) Learn how to be prepared for all receivership appointment tasks by using the Receiver’s Checklist; 2) Become informed about the useful and detailed content in the six main sections and the 20 sub sections included in the Checklist; and 3) Learn specific new and important steps or actions to complete the first day of a receivership appointment; Become aware of potential difficulties or troubles from not knowing about certain important actions
Speakers:Kenton Johnson (Producer), Lynn Dean, Michael Napoli, Paula Durham, Richard Foelber, Ryan Baker
- 5:15 PM - 6:15 PM
- Young Professionals Happy Hour
- All young professionals are invited to attend this special happy hour hosted by the NAFER Young Professionals Committee.
- 6:15 PM - 7:15 PM
- Welcome Reception
- Celebrate the kick off of the 10th Annual Conference with your colleagues in the beautiful gardens of The Ritz-Carlton Marina del Rey!
Friday, October 22, 2021
- 7:00 AM - 5:30 PM
- Registration Desk Open
- 7:00 AM - 8:00 AM
- 8:00 AM - 9:00 AM
- Creative Approaches to Litigation
- Recovering money for injured investors and consumers is often a difficult task. Corporate executives put up legal roadblocks to prevent disgorging their ill-gotten profits. Assets are shifted to shell companies. Records can go missing. Join a panel of four experienced litigators to learn how they have assisted receivers in holding the perpetrators of fraudulent schemes accountable for their actions. The panel will offer pragmatic advice to receivers, lawyers and other professionals. Learning Objective: Identify innovative litigation strategies that can enhance the recovery of assets for injured investors and consumers.
Speakers:Daniel Seligman (Producer), Gary Caris, Gregory Garno, Naim Surgeon, Tara Norgard
- 9:00 AM - 9:15 AM
- Break with our Sponsors
- 9:15 AM - 10:15 AM
- Selling Your Self: The Art of Business Development and Marketing in the Receivership World
- The panel will discuss various ways to grow your practice as a federal receiver, counsel or financial advisor to federal receivers. The discussion will include increasing your exposure and reaching the decision makers.
Speakers:Henry Sewell, Maria Yip (Producer), Mark Dottore, Rosemary Hollinger
- 10:15 AM - 10:30 AM
- Break with our Sponsors
- 10:30 AM - 11:30 AM
- A Fireside Chat on the Foundations of Diversity, Equity, Inclusion and Authenticity
- Ritu will discuss the following topics in her Fireside Chat: • The difference between diversity, equity, inclusion and authenticity • How authenticity, belonging and psychological safety are linked to inclusion • Unconscious bias – what is unconscious bias; key forms of bias that impact decision making; the impact of biases on professionals and clients from equity-seeking communities • Foundations of cultural competence, including concepts that impact professionals and clients from equity-seeking communities • Key strategies for becoming more inclusive and culturally competence in interacting with professionals and clients from equity-seeking communities, including how to be a better ally. Learning Objectives: 1) What are some examples of biases and blindspots that have been observed within your organization? 2) Which cultural identity groups are experiencing these issues? and 3) What are the perceptions around exclusion within your organization?
- 11:30 AM - 1:00 PM
- Lunch Break
- 1:00 PM - 2:00 PM
- Keynote Address
- Did you know that in fiscal years 2016-2020 the Federal Trade Commission provided $11.2 Billion dollars in refunds to consumers, much of it with the assistance of federal equity receivers appointed in enforcement actions brought by the FTC?<br />NAFER is proud to present as its keynote speaker Bikram Bandy, Chief Litigation Counsel of the Federal Trade Commission’s Bureau of Consumer Protection. During this interactive hour, Mr. Bandy will answer all of your questions, including the types of cases in which it seeks receivership appointments, the process the FTC uses to recommend receiver candidates to courts, appropriate interaction between receivers and the FTC during a case, as well as the future of receiverships in FTC enforcement actions following the Supreme Court’s recent ruling in AMG Capital Services, LLC v. FTC.
Speakers:Bikram Bandy, Jonathan Perlman (Producer)
- 2:00 PM - 2:30 PM
- Break with our Sponsors
- 2:30 PM - 3:30 PM
- Receiver as CEO: How to Manage an Operating Company in Receivership
- Receiver as CEO - The business of Receivership: From takeover to exit, many Receivers face the challenge of operating the business that they are managing under Receivership. Join five experienced Receivers who have successfully served as Chief Executive Officers to learn about the Receiver as a CEO Journey, including key initial steps, best practices when operating a business, and managing financial challenges and opportunities to navigate the business to a successful exit. Learning Objectives: 1) Initial Evaluation: Is this business viable? 2) How to operate the business; 3) Finances; and 4) The Ultimate Goal: What is the Exit Strategy?
Speakers:Alex Moglia, David Stapleton, Krista Freitag, Melanie Damian (Producer), Thomas Seaman
- 3:30 PM - 4:00 PM
- Break with our Sponsors
- 4:00 PM - 5:00 PM
- The Ethical Receiver: Balancing the Demands as a Neutral Party
- The fiduciary duty of a federal equity receiver is to serve the receivership estate and all of its beneficiaries, including the nominating agency, unsecured creditors, and equity holders. But the interests of the various beneficiaries of the estate often conflict. One of the trickiest obligations a receiver has is to balance these conflicting interests. This is particularly true when the agency which appointed the receiver or an interested party to the proceeding is the party pushing for the receiver to take action. This seminar will explore approaches to resolving these conflicts. Should the receiver agree to waive the attorney-client privilege? If so, should the waiver be limited in some way? Should the receiver agree to a judgment in favor of the agency? What about a preliminary injunction? What if equity wants the receiver to file a lawsuit, but the unsecured creditors believe it would be a waste of estate resources? Of if unsecured creditors want the receiver to use estate resources to increase the value of an asset before selling it, and the agency wants to asset liquidated immediately? A panel of two receivers and two agency professionals will explore, discuss, and debate how to address these issues and more through both experiences and hypotheticals. Through their various insights and differing points of view, and a lot of audience participation, we will seek to provide a framework for all of us approach these thorny issues. Learning Objectives: 1) Learning about the issues that a receiver should consider when balancing the demands of the appointing agency with the demands of another beneficiary or group of beneficiaries; 2) Learning about approaches the receiver can use in conferring and negotiating with beneficiaries with competing interests; and 3) Learning what methods the receiver can use to attempt to resolve, or to make decisions related to, conflicts between beneficiaries with competing interests.
Speakers:Amy Longo, Ira Bodenstein, Joe Grekin (Producer), JonMarc Buffa, Melanie L. Cyganowski
- 5:30 PM - 7:00 PM
- NAFER Reception
- Everyone has missed the opportunity to gather in person with our colleagues. Take advantage of the gorgeous setting of our conference location and catchup with old friends and make new connections during our evening reception.
Saturday, October 23, 2021
- 7:00 AM - 12:30 PM
- Registration Desk Open
- 7:00 AM - 8:00 AM
- 8:00 AM - 9:00 AM
- NAFER Annual Meeting
- 9:00 AM - 9:15 AM
- Break with our Sponsors
- 9:15 AM - 10:15 AM
- Are You Bound or Not? Contracts and the Federal Receiver
- This panel will help even the most experienced receiver make decisions about what to do with existing contracts inherited by the receivership estate, including the contracting party's ability to enforce a contract against an estate, the receiver's ability to terminate the contract and what factors should be considered when evaluating whether to do so, why different types of contracts may be treated differently, and when to seek court approval for contracts and actions relating to them.
Speakers:Jared Perez, Kathy Bazoian Phelps, Kevin Duff, Shawn Christianson, Ted Fates (Producer)
- 10:15 AM - 10:45 AM
- Break with our Sponsors
- 10:45 AM - 12:00 PM
- Judges Panel
- This panel will cover questions such as: What does the Court want to see in a receiver candidate? What does the Judge expect from the receiver from the outset with a sharp focus on the generally hostile takeover of the business? How often does the Judge want to hear from the receiver at the outset of the case and as the case moves forward in time? Does the receiver have any “inherent” powers that do not need to be spelled out in the order, or is it best to have all actions of the receiver approved by the Court in advance? Under what conditions would the Court not grant the preliminary injunction? If the receiver is going to pursue litigation, should the receiver first get permission from the Court and will the matter be handled by the appointing Court? How often should the receiver come to the Court for approval of fees? Does the Court have an interest in sharply defining the duties of the receiver versus receiver’s counsel?
Speakers:Hon. Autumn Spaeth, Hon. Darrin Gayles, Hon. David O. Carter, Robert Mosier (Producer)