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Symposium Speakers and Panelists

Keynote Speaker

Troy Paredes

Troy A. Paredes, Esq.

Troy A. Paredes is the founder of Paredes Strategies LLC. From 2008-2013, Paredes was a Commissioner of the SEC, having been appointed by President George W. Bush and confirmed by the U.S. Senate. Paredes served as SEC Commissioner during an especially historic time at the SEC and for our economy—namely, throughout the financial crisis and its aftermath, including the implementation of the Dodd-Frank Act. As a Commissioner, he also actively engaged in the launching of an initiative at the SEC to encourage cooperation in enforcement actions, the creation of specialized units in the Division of Enforcement, changes to the regulators' "neither admit nor deny" policy, the establishment of a whistle blower program, and the institution of risk-based SEC inspections and examinations of regulated entities.

Panelists

Marty P. Dunn

Marty P. Dunn, Esq.

Martin P. Dunn is senior of counsel based in Morrison & Foerster's Washington, D.C. office. Prior to his career in private law, Dunn spent 20 years at the SEC, having served as Chief Counsel, Deputy Director, and Acting Director of the SEC's Division of Corporation Finance. In his roles with the SEC, Dunn oversaw many significant initiatives on disclosure, governance, and capital raising, including reforming the securities offering process, updating Rule 144, implementing the Sarbanes-Oxley Act, adopting the plain English requirements for prospectuses, implementing electronic proxy delivery, and easing exempt and registered capital formation for small businesses.

John M. Fife

John M. Fife

John M. Fife is managing partner and principal investor in Chicago Venture Partners (CVP), a leading provider of capital to small-capitalization public companies listed on the NASDAQ and OTC Market that focus on technology, medical devices, life sciences, and national resources. He is also the president, and chief executive officer, and chairman of the board of United American Healthcare Corp, a publicly traded medical device company. Fife’s long-standing career as an entrepreneur and investor brings to fruition decades of knowledge and experience in venture capital, private equity, and mergers and acquisitions.

Dixie L. Johnson

Dixie L. Johnson, Esq.

At King & Spalding, LLP, Dixie L. Johnson represents businesses and individuals in securities enforcement investigations and conducts internal investigations for corporate board committees and companies. As partner in the firm's Special Matters and Investigations group, Johnson co-leads the Securities Enforcement and Regulation practice. She appears regularly before the SEC, DOJ, FINRA, PCAOB and other federal and state authorities. Since joining King & Spalding in early 2014, the government has closed nearly two dozen investigations without charging Johnson's clients.

Alfred Tierney

Alfred C. Tierney, Esq.

Alfred C. Tierney currently serves as senior counsel in the SEC's Division of Enforcement. Tierney has conducted a wide range of investigations concerning potential violations of federal securities laws, including financial frauds, auditors, broker-dealers, the Foreign Corrupt Practices Act, and insider trading. For the past several years, he has served as a member of the Asset Management Unit, a specialized group investigating potential misconduct relating to investment advisers, private funds, and investment companies. During the course of his investigations, he has worked closely with numerous government agencies and foreign securities regulators.