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Taming the Rogues of Wall Street

March 22, 2018 at 12:00 pm - 2:15 pm EDT

Taming the Rogues of Wall Street


Thursday, 22 March 2018
Noon – 2:15 PM
About the Program

Baruch College’s Robert Zicklin Center for Corporate Integrity welcomes veteran risk, compliance, and governance specialist Andrew Waxman to campus on March 22, 2018.  Mr. Waxman will be joined by Professor Larry Zicklin (’57) for a lunchtime discussion of Waxman’s award winning book Rogues of Wall Street: How to Manage Risk in the Cognitive Era.  Waxman will explain how new and emerging technologies can be leveraged to reduce risk failure losses. He will also take questions from the audience.

This event is part of Baruch College’s Ethics Week.

About the Book

Rogues of Wall Street analyzes the risk failures and errors that have overwhelmed Wall Street for the past decade. This book helps bank leaders and consultants identify the tools they need to effectively manage operational risk. Citing different types of risk events such as rogue and insider trading, cyber security, AML, the Mortgage Crisis, and other major events, chapters in the first half of the book details each operational risk type along with its causative and contributing factors. The second half of the book takes an overarching approach to the tools and solutions available to financial institutions to manage such events in the future.

About the Speakers

Andrew Waxman is the author of “Rogues of Wall Street: How to Manage Risk in the Cognitive Era” and a regular contributor to American Banker’s BankThink Blog. He is also an Associate Partner in IBM Global Business Services’ financial markets Risk and Compliance practice and former risk officer at various Wall Street firms.

Larry Zicklin joined New York University Stern School of Business as a Clinical Professor, where he teaches in the TRIUM and M.B.A. Programs and has received teaching awards in both. His areas of expertise include corporate governance, business ethics and finance.

He is also a Senior Lecturer for the M.B.A. program at the Wharton School, teaches at Baruch College and is a member of Duke Corporate Education’s Global Learning Resource Network.

Professor Zicklin is a past President and current Chairman of the Board of the Baruch College Fund, and has also served as President and Chairman of the Board of UJA Federation of New York. He is a Director of BZL Biologics, Inc. (a research company studying antibody-based therapeutics), Liquidnet Inc. (an alternative trading system for large institutional investors) and Neuberger Berman (investment management). He is also Chairman of the Board at the Rand Center for Corporate Ethics, Law and Governance.

He retired from Neuberger Berman in 2003, as Chairman of the Board, having previously been Managing Partner and CEO from 1974-1999 and now serves as Chairman of the Audit Committee.

Professor Zicklin was educated at Baruch College and received an M.B.A. from the Wharton School.


Complimentary pre-registration is required to attend this program. Register online, by phone or e-mail:


Baruch College’s Vertical Campus Conference Center

55 Lexington Ave (enter on 24th or 25th street), Room 14-220



March 22, 2018
12:00 pm - 2:15 pm EDT


Vertical Campus Conference Center, Room 14-220
55 Lexington Ave, Room 14-220
New York, NY 10010 United States