The Rise of AI and its Impact on Securities Enforcement, Regulation and Compliance

Christoffer Lee is an Assistant United States Attorney in the Northern District of California. In that role, AUSA Lee works closely with law enforcement partners and other stakeholders to identify, disrupt, and prosecute frauds and other crimes that seek to exploit emerging technologies. AUSA Lee has served as the Deputy Chief of the General Crimes Section, as well as the District’s Project Safe Neighborhood Coordinator, where he worked closely with federal law enforcement to implement district-wide strategies to combat violent crime and firearms offenses through data-driven prosecutions.

Prior to joining the U.S. Attorney’s Office, AUSA Lee worked as a deputy district attorney in Santa Clara County, and in private practice at Covington & Burling in Washington DC and at Farella, Braun Martel LLP in San Francisco. He served as a law clerk to the Hon. Thelton E. Henderson, United States District Judge, NDCA (retired).

Chrissy Filipp is an Assistant Regional Director for Enforcement in the SEC’s San Francisco Regional Office and has been a member of the SEC staff since 2015. Chrissy supervises a variety of investigations, and prior to becoming a supervisor she served as a member of Enforcement’s Asset Management Unit. Additionally, while at the Commission, Chrissy served on detail to Commissioner Allison Herren Lee, as well as the Office of the Director of Enforcement. Before joining the Commission, Chrissy was a litigation associate with Wilson Sonsini Goodrich & Rosati. She received her law degree from UCLA and her undergraduate degree from Wellesley College.

Thomas Heck is a Partner in KPMG’s Forensic practice where he serves in the firm’s Forensics practice and serves as the firm’s national leader for insurance claims services. Thomas has over 14 years of experience in assisting clients with a wide range of forensic services including commercial insurance claim assistance, litigation support, financial reporting and securities investigations, due diligence and fraud investigations, contract vetting, computation of damages, claims analyses, neutral services (i.e., arbitrations involving buyers and sellers in stock purchase and sale transactions) and other alternative dispute resolution.
Thomas has extensive experience working on insurance loss claims and has worked closely with clients to assist with the compilation, calculation, and submission of data to support business interruption, extra expense and property damage claims. He has lead teams in the gathering of financial and accounting information to present to insurance companies and their advisors in order to document the losses of his clients across several industries. Thomas has prepared, calculated and negotiated complex insurance claims, including property damage, business interruption, extra expense, inventory, and theft (Employee Dishonesty Coverage) claims.

Ken Herzinger is a partner in the Investigations and White Collar Defense practice of Paul Hastings and is based in the firm’s San Francisco office. His practice focuses on Securities and Exchange Commission (SEC) investigations and enforcement actions, internal investigations, and securities class actions.
Mr. Herzinger has 20 years of experience in private practice and has handled a wide range of cases and investigations, including in cybersecurity, blockchain, cryptocurrency, and SEC BSA/AML enforcement, as well as more traditional areas such as accounting and financial statement fraud, financial reporting and controls, the Foreign Corrupt Practices Act (FCPA), insider trading, and Dodd-Frank and SOX whistleblower retaliation claims. He served as an attorney in the SEC’s Enforcement Division prior to joining private practice.

Jessica Chan leads the legal team at Uber that responds to government investigations and inquiries on behalf of the company. Prior to joining Uber, Jessica was Senior Counsel in the SEC’s Division of Enforcement in San Francisco. Jessica began her legal career as an associate at Simpson Thacher & Bartlett and Covington & Burling, with a focus on white collar defense and SEC enforcement. She also completed a judicial clerkship with the Honorable Shira A. Scheindlin of the Southern District of New York. Jessica received her J.D. from New York University School of Law and her B.A. from Yale University.

Amy Jane Longo is a partner in Ropes & Gray’s litigation and enforcement practice group, specializing in securities enforcement and securities litigation. Amy has more than 25 years of experience representing and prosecuting companies and individuals, with a focus on the financial services industry.

Amy was previously Regional Trial Counsel for the U.S. Securities and Exchange Commission’s Los Angeles Regional Office in the Division of Enforcement. She oversaw all litigation brought by the SEC’s Los Angeles Regional Office—from pre-filing through trial or resolution—in federal district court and SEC administrative proceedings. While at the SEC, Amy supervised cases involving offering frauds, financial reporting and disclosures, accounting, cryptocurrency, insider trading, market manipulation, securities registration, broker dealers, investment advisers, investment companies, and FCPA. In addition to running the trial unit, she also served as lead trial counsel on securities enforcement matters.

Prior to joining the SEC in 2013, Amy was a litigation partner in the Los Angeles office of a major international law firm, where she practiced for fifteen years with a focus on securities and derivative suits and financial services litigation.