Cynthia Cain Ioannacci is an Associate General Counsel in the General Counsel’s Office of National Futures Association. In her current position, Ms. Cain Ioannacci concentrates primarily on overseeing NFA enforcement matters and also advises on NFA compliance and regulatory matters. Ms. Cain Ioannacci joined NFA in 1985 and has worked in NFA’s Arbitration, Communications, Compliance and Market Services Departments. Ms. Cain Ioannacci earned her law degree from Loyola University School of Law.
Matthew C. Solomon’s practice focuses on securities enforcement and litigation, white-collar criminal defense, and complex commercial litigation.
Before joining Cleary in 2017, Matt served for 15 years as a white-collar prosecutor and unit chief with the U.S. Department of Justice and as a senior enforcement official with the U.S. Securities and Exchange Commission—most recently as the SEC’s Chief Litigation Counsel.
Matt represents global financial institutions, public and private companies (foreign and domestic), private equity firms, asset managers, and individual corporate executives and employees on a broad range of issues and disputes spanning from regulatory compliance and remediation advice to advocacy and litigation against the government and private parties. Matt leverages his high-level government experience as a federal prosecutor and supervisor and as an SEC enforcement official to vigorously represent his clients’ interests before criminal and regulatory authorities, including the SEC, DOJ, CFTC, FINRA, and State Attorneys General.
Matt has tried more than 20 cases to verdict, including as lead counsel in complex, white-collar jury trials in federal courts across the United States. He has also briefed and argued cases in the U.S. Courts of Appeals.
Prior to joining Cleary, Matt served as the SEC’s Deputy Chief Litigation Counsel in 2012 before being promoted to Chief Litigation Counsel in 2013. As the agency’s top litigator, Matt led the SEC’s 150-attorney national trial unit and supervised the SEC’s litigated cases in federal court and administrative proceedings. Matt regularly interacted with the SEC enforcement staff nationwide in relation to complex issues arising in investigations and counseled the directors of the SEC’s Enforcement Division as well as its specialized divisions, including the Divisions of Corporation Finance and Trading and Markets, on issues relating to litigation strategy and risk.
Before joining the SEC, Matt served in prominent positions for nearly a decade with the DOJ, including as an Assistant U.S. Attorney, as the Chief of the Fraud Unit for the 350-lawyer U.S. Attorney’s Office for the District of Columbia, and as an Honors Program trial attorney in the Criminal Division’s Public Integrity Section. He also spent nearly two years (on detail from the DOJ) serving as Counsel to the Chairman of the U.S. Senate Judiciary Committee where he worked on criminal law and national securities issues.
As Director of Infrastructure and Exchanges at the Financial Conduct Authority I cover significant aspects of the UK’s financial markets. This includes supervision, policy and competition issues with respect to trading venues and the functioning of wholesale capital markets. To support our supervision and policy work we also conduct market analysis and research, including via use of regulatory data. In addition I am part of the FCA’s senior leadership team; helping to set strategy, deliver outcomes and convey the work we are doing externally.
Before joining the FCA in December 2022, I spent 24 years at the Bank of England. My career at the Bank spanned monetary policy, financial stability and market operations. I worked across a wide range of different topics, but a common thread was economic and regulatory policy work related to financial markets. My expertise straddles, macroeconomics and finance as well as practical knowledge of capital markets, investment institutions and central bank operations.
Brandon M. Hammer’s practice focuses on a broad range of creditors’ rights, netting, financial regulatory, bankruptcy, digital asset, and market infrastructure issues.
His clients include financial institutions, clearinghouses, sovereigns, and end users. He is frequently counsel to leading financial market trade associations and ad hoc coalitions on major industry initiatives and industry-standard opinions.
He regularly advises clients regarding close-out netting rights under a variety of different U.S. insolvency regimes, including the Bankruptcy Code, the Federal Deposit Insurance Act, the Securities Investor Protection Act, the New York Banking Law, and the Orderly Liquidation Authority title of the Dodd-Frank Act, and represents clients before federal regulatory agencies and self-regulatory organizations.
Mr. Shapiro is an Assistant Director in the Chief Counsel’s Office of the SEC’s Division of Investment Management. In that role, Mr. Shapiro oversees the provision of guidance relating to the Investment Advisers Act and the Investment Company Act and the rules thereunder. Prior to serving in his current role, Mr. Shapiro has at different times served as a branch chief in both the IM Liaison Office (ILO) and the Chief Counsel’s Office. In those roles, he was responsible for providing guidance to the SEC’s Divisions of Enforcement and Exams, the public, and others, concerning the application of the Investment Advisers Act and the Investment Company Act.
Mr. Shapiro has also served as Vice President, Corporate Counsel to Prudential. In that role, he provided legal guidance concerning the provision of investment advice through multiple channels, including through traditional advisers and robo-advisers. Previously, Mr. Shapiro was an associate in the office of Ropes & Gray LLP, where he advised registered investment advisers and investment companies with respect to various legal, regulatory and governance matters. Mr. Shapiro earned his B.S. in Political Science and History from the University of Illinois at Urbana-Champaign, and his J.D. from the University of Virginia School of Law.
Professor Michael Mainelli MStJ PhD MPhil BA FCCA FCSI(Hon) FBCS FRSA CITP FIC CMC MEI is a qualified accountant, securities professional, computer specialist, and management consultant, educated at Harvard University and Trinity College Dublin. He gained his PhD at the London School of Economics where he was also Visiting Professor of Innovation & IT. Originally a research scientist in aerospace (rocket science) and computing (architecture & cartography), after directing mapping projects in Switzerland he became a senior partner with accountants BDO Binder Hamlyn directing global consulting, and Corporate Development Director for Europe’s largest R&D firm, then the Ministry of Defence’s 14,000 strong Defence Evaluation & Research Agency. During a mergers & acquisitions spell in merchant banking with Deutsche Morgan Grenfell, he founded Z/Yen in 1994, the City of London’s leading think-tank, promoting societal advance through better finance and technology, renowned for its Global Financial, Green Finance, and Smart Centres indices.
Michael’s career summary is a decade of technology research, a decade in finance, then three decades at Z/Yen combining research and finance for social purposes.
He became Lord Mayor Elect of the City of London on 29 September 2023.
https://www.sec.gov/about/commissioners/mark-t-uyeda
Ms. Russell has been a member of the division’s Office of Chief Counsel for a decade, and since 2011 has served as a Senior Special Counsel in the Office of Sales Practices. Ms. Russell has worked on a broad range of broker-dealer regulatory matters and was responsible for, among other things, developing and drafting key components of the Commission’s recently adopted package of rulemakings and interpretations designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers. In particular, Ms. Russell led the development and drafting of Regulation Best Interest. Ms. Russell has also provided legal and policy advice on a variety of anti-money laundering issues, and represented the Division of Trading and Markets in senior-level interagency and international meetings on these matters.
Before joining the SEC in 2009, Ms. Russell worked in the Financial Institutions Group at Wilmer Cutler Pickering Hale and Dorr LLP, where she advised broker-dealers and other financial institutions regarding compliance with a wide range of securities and banking laws, rules and regulations as well as anti-money laundering requirements.
Ms. Russell received her B.A., summa cum laude, in Economics and International Relations from Colgate University. She earned her J.D. from the Columbia University School of Law, where she was a James Kent Scholar and a Harlan Fiske Stone Scholar and served as Executive Editor of the Columbia Journal of Transnational Law.
Rachel Kaplan Reicher is the Chief Counsel of the Division of Market Oversight (DMO) at the U.S. Commodity Futures Trading Commission (CFTC), and the Deputy Director of DMO’s Chief Counsel Unit. She leads the Chief Counsel Unit in advising DMO and the Commission on law and policy that affects DMO’s oversight of the vibrancy, integrity and structure of the commodity futures, options and swaps markets. Among other things, Rachel and her team support the development and drafting of DMO policy and staff action documents as well as complex rulemakings on a wide range of topics affecting DMO.
Prior to joining the CFTC, for fourteen years, Rachel advised a wide variety of clients on federal regulatory law and policy related to derivatives as a Counsel at Skadden and an Associate at Kirkland & Ellis. She represented clients before the CFTC and the Securities and Exchange Commission, the Department of the Treasury, the Federal Reserve Board and Congress on a broad range of issues arising under Titles II, VII and VIII of the Dodd-Frank Act and the Commodity Exchange Act.
Rachel earned her J.D. from the Boston University School of Law and graduated cum laude from Tufts University with Bachelor’s degrees in Environmental Science and Psychology. Rachel is a member of the board of directors of Kol Shalom in Rockville, Maryland.