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Investigation, Regulatory Enforcement & Compliance

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SEDA Experts

Investigation, Regulatory

Enforcement & Compliance.

Senior executives and former global head of compliance at leading financial institutions, regulators, enforcement officers, and senior counsels at various agencies government agencies — specializing in commercial and investment banking activities across a wide array of financial instruments.

PRACTICE AREA  · EXPERT WITNESS & CONSULTING

Related Experts

About this practice

PRACTICE OVERVIEW

Our highly qualified experts offer consulting, independent opinions, and expert testimony for disputes involving regulatory and enforcement frameworks. We specialize in commercial and investment banking activities and a wide array of financial instruments, including securities, derivatives, fixed income, commodities, complex structured credit products, cryptocurrencies, and digital assets.

Our expertise ensures compliance with industry standards and key regulations, such as Dodd-Frank, the Investment Company Act, and the Investment Adviser Act, among others — providing clients with insights grounded in current regulatory requirements and best practices.

Our team includes former regulators, compliance officers, and enforcement practitioners from the SEC, CFTC, FCA, and leading financial institutions, providing authoritative and credible testimony across the full spectrum of regulatory proceedings.

SEDA serves law firms and financial institutions in two complementary capacities in regulatory matters. As expert witnesses, our experts provide testimony on regulatory standards, industry conduct norms, and the adequacy of compliance programmes in enforcement proceedings. As consultants, we guide institutions through supervisory engagement strategy, voluntary disclosure decisions, Wells Notice responses, and post-enforcement remediation — applying genuine regulatory authority to both the adversarial and advisory dimensions of complex compliance matters.

WHY SEDA

Former regulators, compliance heads, and enforcement attorneys from the SEC, CFTC, FCA, and leading financial institutions — direct experience in regulatory proceedings and enforcement actions.

Expertise spanning securities, derivatives, fixed income, commodities, structured credit products, cryptocurrencies, and digital assets — across Dodd-Frank, the Investment Company Act, and Investment Adviser Act.

Deep knowledge of industry standards, best practices, and regulatory requirements — enabling credible testimony on compliance program adequacy and regulatory violations.

SUB-PRACTICE  AREAS

Areas of expertise

01

FINRA, SEC & CFTC Enforcement

Related: Damages, Forensics & Fraud · Securities

02

FCA & Global Regulatory Proceedings

Related: Securities & Derivatives · Capital Markets

Expert testimony in FINRA, SEC and CFTC enforcement proceedings — including insider trading, market manipulation, disclosure violations, registration failures, and investment adviser misconduct.

Analysis of the adequacy of compliance programs, supervisory procedures, AML/KYC frameworks, and internal controls — in the context of regulatory examinations and enforcement actions.

03

Compliance Program Adequacy

Related: Risk Management & Regulatory Compliance

Expert opinions on FCA enforcement matters, market abuse regulation, SMCR obligations, and regulatory investigations across UK and EU financial markets.

04

Dodd-Frank & Financial Reform

Related: Securities & Derivatives · Alternative Assets

Expert analysis of Dodd-Frank compliance, swap dealer registration, margin requirements, clearing obligations, and reporting requirements for OTC derivatives.

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Dawn Stump

Dawn Stump

Bio

Managing Director

Dawn Stump is a seasoned financial executive and regulatory leader, recently serving as a Commissioner of the Commodity Futures Trading Commission. Her work has spanned all asset classes, with a focus on business continuity, supply chain disruptions, cyber risk, emerging assets including crypto, data protection, and climate-related market risks.

Former 

U.S. Commodity Futures Trading Commission (CFTC) - Commissioner

Futures Industry Association - Executive Director Americas’ Advisory Board

Kenneth Simmons

Kenneth Simmons

Bio

Managing Director

Kenneth Simmons is a renowned expert in regulatory compliance, fraud, anti-money laundering (AML), Sanctions, and the Bank Secrecy Act (BSA). His background spans hands‑on leadership roles within major financial institutions as well as influential positions across multiple regulatory bodies.

Former

OCC/FDIC Bank Examiner and EVP Chief Compliance Officer at Origin Bank

Jane Jarcho

Jane Jarcho

Bio

Managing Director

Ms. Jarcho served as Deputy Director at the SEC Office of Compliance Inspections and Examinations and led the IA/IC examination program. Her enforcement work covered complex financial fraud, insider trading, market manipulation, broker-dealer supervision, and investment adviser and company violations.

Former 

SEC OCIE - Deputy Director and Head of the Investment Adviser/Investment Company 

Brandon Becker

Brandon Becker

Bio

Managing Director

Brandon Becker is a distinguished expert in securities regulation and corporate governance, with a career spanning over four decades in both public service and private sector roles. His expertise covers a wide range of critical areas, including market oversight, broker-dealer compliance, and regulatory advisory for major financial institutions.

Former

TIAA-CREF - EVP & Chief Legal Officer

Depository Trust & Clearing Corporation (DTCC) - Managing Director 

SEC - Special Advisor to the Chairman

Robert Mass

Robert Mass

Bio

Managing Director

Robert Mass is a former Goldman Sachs senior executive and Global Head of Compliance for sales and trading, as well as International Head of Compliance. He is an expert in governance, supervision, and compliance, and played a key role in developing Goldman’s firmwide ethics program.

Former

Goldman Sachs Group - Partner, Head of International Compliance

Goldman Sachs Group - Partner, Global Head of Securities Division

Natasha Kassian

Natasha Kassian

Bio

Managing Director

Natasha Kassian has over 30 years of buy-side experience providing legal and compliance guidance to registered investment advisers across a broad range of products, asset classes, investment strategies, and jurisdictions.

Former 

Citadel Americas LLC - Aptigon – Chief Compliance Officer

Millennium Management LLC – Global Head of Corporate and Regulatory Compliance

Cameron Funkhouser

Cameron Funkhouser

Bio

Managing Director

Cameron Funkhouser is a financial regulatory leader with over 35 years of experience as Executive Vice President at FINRA, with a strong record in regulatory programs, high-profile investigations, and data-driven market surveillance and compliance.

Former

FINRA - Executive Vice President - Office of Fraud Detection and Market Intelligence

Colin L. Schmitt

Colin L. Schmitt

Bio

Managing Director

Colin Schmitt is a seasoned investigator and fraud examiner with over 25 years of experience, including senior roles at the Federal Bureau of Investigation, specializing in complex financial and healthcare fraud, public corruption, civil rights enforcement, and counterterrorism.

Former

Federal Bureau of Investigation - Special Agent-Senior Fraud Investigator, Supervisory Senior Resident Agent

Tracey King

Tracey King

Bio

Associate Director

Tracey King is a Chartered Compliance and Financial Crime professional with over 25 years of experience advising and leading regulated financial services firms in the UK and internationally. She has held senior executive and advisory roles across banking, fintech, payments, consumer credit, investment, and crypto-asset businesses.

Former

ADSS Securities Ltd - Senior Associate & Project Manager

Credit Karma - Head of Compliance, Financial Crime and Operational Risk UK and Canada

Deutsche Bank - Senior Financial Crime and Compliance Consultant

First Abu Dhabi Bank - Deputy Head of Compliance


Derek Linden

Derek Linden

Bio

Managing Director

Mr. Linden is a recognized authority on securities regulation, compliance and operations. He specializes in all aspects of the registration of firms and professionals, including qualification, education and public disclosure. His expertise extends to regulatory technology, records management, data governance, privacy, and compliance.

Former

FINRA - Executive Vice President

Grace Vogel

Grace Vogel

Bio

Managing Director

Grace Vogel is a U.S. broker-dealer regulatory expert with more than 40 years of experience, including serving as Executive Vice President of Member Regulation at FINRA and the New York Stock Exchange.

Former

PwC LLP - Senior Managing Director, Advisory Practice

Financial Industry Regulatory Authority/New York Stock Exchange - Executive Vice President


Amber Vitale

Amber Vitale

Bio

Managing Director

Amber Vitale is a senior attorney and compliance expert with extensive experience in U.S. economic sanctions, anti-money laundering, and financial crimes compliance. Her background spans government service, private legal practice, global financial institutions, and consulting.

Former

Brown Brothers Harriman - SVP, Head of Global Sanctions Advisory

U.S. Dept. of Treasury, OFAC - Section Chief, Office of Enforcement


David Saul, CA

David Saul, CA

Bio

Managing Director

David Saul is a Chartered Accountant with 30+ years’ experience in financial services across Compliance and Internal Audit. He has held senior roles at HSBC, Barclays, and BMO Asset Management, covering retail, commercial, and private banking, as well as wealth and asset management, insurance, and private equity.

Former 

HSBC - Global Head, Compliance Risk Assurance

Barclays - UK Head, Compliance Monitoring & Testing

Dante Tosetti

Dante Tosetti

Bio

Managing Director

Dante Tosetti is a former Federal Reserve Bank Examiner and senior banking executive with over 25 years of experience in bank regulation, credit risk, regulatory compliance, commercial lending, and risk management.

Former

Federal Reserve Bank of San Francisco - Commissioned Bank Examiner

West Coast AML Services, LLC - Special Advisor


Marc Steckel, CFA

Marc Steckel, CFA

Bio

Managing Director

Marc Steckel has more than 32 years of regulatory experience at the U.S. Federal Housing Finance Agency (FHFA) and the Federal Deposit Insurance Corporation (FDIC), spanning roles in bank supervision, deposit insurance fund management, and large-bank resolution.

Former

Federal Housing Finance Agency - Division of Conservatorship Oversight and Readiness, Associate Director

Federal Deposit Insurance Corporation -  Deputy Director, Corporate Expert, Associate Director, Capital Markets Specialist, and Examiner

Julian Gooding

Julian Gooding

Bio

Managing Director

Julian Gooding is a senior regulatory lawyer and compliance professional with extensive experience advising global financial institutions across Asia, Switzerland, and London. He has held senior legal and compliance leadership roles and led complex regulatory and investigation matters.

Former

Temple Bright - Regulatory Partner

Credit Suisse - Chief Compliance Officer, Regulatory Compliance, GC COO and GC Corporate Legal Group

Freshfields Bruckhaus Deringer, Hong Kong - Senior Associate, Financial Services


J. Bradley Bennett

J. Bradley Bennett

Bio

Managing Director

J. Bradley Bennett is a former Chief of Enforcement at FINRA with over 30 years of experience as an attorney. He is an expert in broker-dealer regulation, SEC and FINRA enforcement, internal investigations, FCPA, and corporate governance under Sarbanes-Oxley.

Former

FINRA - Chief of Enforcement

Baker Botts LLP - Senior Partner



Michael Roseman

Michael Roseman

Bio

Senior Advisor

Michael Roseman is an accomplished risk management expert with broad experience implementing, strengthening and leading risk management across global financial institutions including broker-dealers and Futures Commission Merchants (FCMs).

Former

Daiwa Capital Markets America - CRO-Interim & Strategic Risk Advisor

MF Global - Global Chief Risk Officer, EVP

Newedge - Chief Risk Officer Americas, EVP

Scott J. Susin, Ph.D.

Scott J. Susin, Ph.D.

Bio

Managing Director

Dr. Scott J. Susin has over 18 years of experience providing expert economic analysis and litigation support in matters involving fair lending, housing discrimination, and mortgage markets.

Former

Federal Housing Finance Agency (FHFA) - Senior Economist

U.S. Department of Housing and Urban Development (HUD)- Economist


Brian Dilley, CA

Brian Dilley, CA

Bio

Managing Director

Brian is an Economic Crime Prevention expert, with over 25 years of experience working at banks, regulators, and consultancies. He has managed and advised on fraud and anti-money laundering prevention, sanctions, and anti-bribery compliance, most recently serving as the Group Director of Economic Crime Prevention at Lloyds Banking Group.

Former

Lloyds Banking Group - Group Director of Economic Crime Prevention

KPMG - Global Head of AML Services

UBS Investment Bank - Global Head of Anti-Money Laundering Compliance

Financial Services Authority - Head of Deposit Taking & Financial Stability, 

Enforcement Division 


Gary DeWaal

Gary DeWaal

Bio

Managing Director

Gary DeWaal is a seasoned expert in the law and regulation of futures and related exchanges. He additionally has expertise in securities, derivatives, digital assets, and emerging technologies like artificial intelligence and quantum computing.

Former

Katten Muchin Rosenman LLP - Senior Counsel

Commodity Futures Trading Commission - Senior Trial Attorney


Howard Mills

Howard Mills

Bio

Senior Advisor

Mr. Mills is a former Superintendent of the New York State Insurance Department and a retired Deloitte Managing Director. He has also served as Senior Advisor to McKinsey’s Insurance Practice and currently sits on the boards of Genworth Financial and The Doctors Company Group.

Former

Deloitte - Managing Director, Global Insurance Regulatory Leader

New York Insurance - Department Superintendent

Nina Rodriguez

Nina Rodriguez

Bio

Managing Director

Nina Rodriguez is an expert in corporate governance and regulatory law, with experience in ethics, whistleblower matters, and board governance. She has advised on IPO-related litigation, insider trading, and disclosure requirements, and previously served as COO and Managing Director at Kalorama Partners.

Former

US District Court for the Southern District of Florida - Judicial Law Clerk

Kalorama Partners & Kalorama Legal Services PLLC - COO & Managing Director

Timothy J. Fogarty Sr.

Timothy J. Fogarty Sr.

Bio

Managing Director

Timothy Fogarty is a former senior Federal Reserve Bank officer with over 35 years of industry experience covering all aspects of international central banking operations and extensive special purpose financial transactions in support of U.S. government and multinational policy objectives.

Former 

Federal Reserve Bank of New York - Senior Vice President

Robert Munns

Robert Munns

Bio

Managing Director

Robert Munns is a banking professional with over 30 years of experience in Asset Based / Middle Market Lending. As former Senior Vice President for leading financial institutions he specializes in loan operations, cross-selling, portfolio management, and sound credit practices.

Former

Valley National Bank, N.A. - VP Portfolio Manager, Middle Market 

Sterling National Bank - VP Portfolio Manager, Asset Based Lending



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