Sunday, August 22nd Keynote: Kenneth J. Caputo

Senior Associate General Counsel Securities Investor Protection Corporation

Mr. Caputo has been lead counsel for SIPC in more than twenty brokerage firm liquidation proceedings, including Adler, Coleman Clearing Corp., located in New York; MJK Clearing, Inc., located in Minneapolis, MN, and the presently pending Lehman Brothers Inc. liquidation.

In Adler, Coleman, which involved more than sixty six thousand customers and forty-two introducing firms, Mr. Caputo successfully handled the litigation and appellate work in more than forty matters. The demise of Adler, Coleman also led to the notorious failures of Hanover, Sterling & Co., A.R. Baron & Co., and Duke & Co., each of which involved unique financial frauds, and wherein Mr. Caputo, as lead counsel, was responsible for litigation of numerous matters in the federal bankruptcy, district and circuit courts, and, in the Baron case, after certification of issues by the Second Circuit, argument before New York’s Court of Appeals.

The MJK Clearing liquidation proceeding involved more than one hundred seventy five thousand customers and sixty five introducing firms, and an estate valued in excess of ten billion dollars. In that case, Mr. Caputo helped effect what was then the largest account transfer in SIPC history. In litigation, he was successful in obtaining the largest settlement in SIPC’s history, bringing a return to the estate of MJK Clearing in the amount of two hundred eighty million dollars.

Mr. Caputo has been lead counsel for SIPC in the Lehman Brothers Inc. liquidation proceeding since its inception, having commenced the case in U.S. District Court on September 19, 2008, and is presently engaged in the intricacies of this unprecedented case, the largest brokerage firm failure in history.

Mr. Caputo also currently represents SIPC on the Financial and Banking Information Infrastructure Committee (FBIIC), which forms part of the President’s Working Group on Financial Markets, and at the Securities Industry Association’s Compliance and Legal Division’s Annual Seminar. He has frequently represented SIPC at the National Conference of Bankruptcy Judges, and served on the Governmental Accounting Standards Board committee for the creation of the Guide to Implementation of GASB Statement 3 on Deposits with Financial Institutions, Investments, and Repurchase Agreements. He is a frequent speaker at various universities, and professional organization seminars and conferences.

Prior to joining SIPC, Mr. Caputo served for three years as an Assistant District Attorney in New York.

Christopher McDougall is a former war correspondent for the Associated Press and is now a contributing editor for Men's Health. A three-time National Magazine Award finalist, he has written for Esquire, The New York Times Magazine, Outside, Men's Journal, and New York. He does his own running among the Amish farms around his home in rural Pennsylvania.

Monday, August 23rd Keynote: Roberta Ufford

Roberta Ufford is a principal of Groom Law Group, Chartered, where she has spent more than 15 years advising ERISA-covered plans, governmental plans, and plan service providers, including recordkeepers, banks, and insurers, on ERISA's fiduciary responsibility provisions and other laws affecting employee benefits plans. Ms. Ufford is recognized by The Legal 500 Guide for her excellence in the Employee Benefits Tax field, cited by clients as "practical, responsive and efficient, and very knowledgeable in the area of fiduciary responsibility". Roberta is a frequent speaker before industry groups on ERISA fiduciary matters.
 

She is a graduate of the George Washington University School of Law with High Honors and is admitted to practice in the District of Columbia. Before attending law school, Roberta served for five years as a military intelligence officer in the U.S. Army, attaining rank of captain.

Monday, August 23rd Keynote: Ben Stein

Economist, Author, Host of Expelled: No Intelligence Allowed (2008) and Emmy-Winning Former Host of Win Ben Stein’s Money

Ben Stein is an economist, columnist, humorist, TV and movie actor, author, lawyer and university teacher. He might be described as either the funniest well known economist or the most economically insightful humorist. He studied economics at Columbia and law and economics while at Yale Law School, where he graduated as valedictorian of the class of 1970. He has served as a trial lawyer, a poverty lawyer, a university teacher most recently at Pepperdine, a speech writer and economic advisor for Presidents Nixon and Ford, a columnist for The Wall Street Journal, a novelist, screen writer, TV writer, syndicated columnist, writer of nonfiction books about culture and finance, and expert witness in complex securities law cases. Ben Stein became extremely well known in 1986 for his iconic role in Ferris Bueller's Day Off, where two words, "Anyone, anyone?" and "Bueller, Bueller?" made him a cult figure. He added to that with his long running game show on Comedy Central, "Win Ben Stein's Money", which won seven Emmies, including one for Ben Stein as Best Game Show Host. He has also won recognition for his economics writing including The Malcolm Forbes Award for Excellence in Financial Reporting for 2008.

Tuesday, August 24th Keynote: John E. McLaughlin

Deputy Director and Acting Director of Central Intelligence from 2000-2004, Distinguished Practitioner in Residence at the Johns Hopkins University: School of Advanced International Studies, Frequent commentator in leading newspapers and broadcast media

John McLaughlin served the last two Presidents as Deputy Director of the CIA, capping a three decade-long career at the Agency. During that time, he held pivotal positions at moments of enormous historical significance and possesses insights on foreign affairs, intelligence operations, and crisis management that come from operating at the highest levels of the government.