About the Program:

On January 20, 2021, Joseph Biden was inaugurated as the 46th president of the United States. The books were then officially closed on the Trump administration’s largely hands-off approach to regulation and enforcement which saw the stock market reached record highs, but also enter a sharp, COVID-19 related drop. President Biden moved quickly to nominate new heads of the Securities and Exchange Commission and Consumer Financial Protection Bureau. Both appointees were seen as individuals likely to take a tough stance on Wall Street. Many political pundits predicted that the nominees would be a sign of things to come: a return to the Obama-era policy of aggressive SEC enforcement actions and the imposition of harsh financial penalties for corporate wrongdoing.

Join the Robert Zicklin Center for Corporate Integrity on Tuesday, March 16^th as we welcome a panel that will discuss the new administration’s approach to finance, financial regulation and ethics including such areas as the SEC, the Fed, disclosure, transparency, consumer protections, ESG and the like. What influence might the various appointees have? What legislation and executive orders can we expect? What kind of enforcement actions might the Federal Government bring? How might the markets react to these changes?

This program is part of Ethics Week 2021 at Baruch College

Speakers:

Terisa Cerasoli

Terisa Cerasoli, Senior Vice President at Neuberger Berman, joined the firm in 2015. Terisa serves as Associate General Counsel of the firm’s Private Wealth Management business. Prior to joining the firm, Terisa was at Morrison & Foerster LLP, where she was counsel in the private funds group. Terisa holds a B.A. in Psychology, with minors in Education and Applied Developmental Psychology, from University of California, Los Angeles, where she graduated cum laude with departmental honors.  She received her J.D. from Columbia Law School. To read more, please click here.

Duc Dang

Duc Dang is the Corporate Counsel for PRA Group, Inc. Prior to this role, Duc was at the United States Securitues and Exchange Commission for over 16 years. In those 16 years he served as Special Counsel to the Division of Corporation Finance and Senior Special Counsel to the Office of the Chief Accountant.  To read more, please click here.

Adam Hollander

Adam prosecutes securities fraud, corporate governance, and shareholder rights litigation on behalf of the firm’s clients in federal and state trial and appellate courts.

Adam has represented investors and corporations in state and federal trial and appellate courts throughout the country. Adam was a senior member of the team that recovered $74 million for investors in In re SunEdison, Inc. Securities Litigation, which concerned what had been the world’s largest renewable energy company.  Adam also played a key role in recovering $48 million for investors in the American Depository Receipts (ADRs) of Volkswagen, relating to the automaker’s alleged misrepresentations concerning its “clean diesel” cars, which claims involved significant international discovery, foreign jurisdictional issues and overlapping litigation in Europe.   Adam’s work was integral to the successful appeal before the U.S. Court of Appeals for the Fifth Circuit in Bach v. Amedisys, Inc., as well as the litigation on remand that resulted in a $43.75 million recovery in that case. To read full bio, please click here.

James Lam

James is currently President of James Lam & Associates, a risk management consulting firm he founded in 2002. He works with corporate directors and executives across all industry sectors, including financial institutions, energy firms, technology companies, multi-national corporations, regulatory agencies, and non-profits. In a Euromoney survey, James was nominated by clients and peers as one of the world’s leading risk consultants. He previously served as Founder and President of ERisk, a technology start-up that provided cloud-based analytical solutions to banks, insurance companies, and energy firms. James also served as Partner of Oliver Wyman, where he was the global leader of enterprise risk solutions.

James graduated summa cum laude with a B.B.A. from Baruch College in 1983 and received an M.B.A. with honors from UCLA in 1989.  To read full bio, please click here.

David Rosenberg

Professor David Rosenberg teaches in the Law Department at Baruch College and is Director of the Robert Zicklin Center for Corporate Integrity. He has written extensively on the fiduciary duties of corporate directors and the evolving definition of good faith and loyalty under Delaware law. His most recent research has focused on the free speech and religious rights of the various stakeholders in a corporation.

Professor Rosenberg is also a member of the consortial faculty of CUNY’s Macaulay Honors College where he teaches a course on the history of New York City. For list of publications and awards, please click here.

Registration:

To register and receive Zoom details, please click here.