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Mutual Recognition
James L. Eastman
Chief Counsel and Associate Director, Division of Trading and Markets
U.S. Securities & Exchange Commission
James L. Eastman has been named Chief Counsel and Associate Director in the Division of Trading and Markets, U.S. Securities & Exchange Commission (SEC) since October 2008.
Mr. Eastman has served as a counsel to SEC Chairman Christopher Cox since 2007, advising him on legal and policy issues arising in the Trading and Markets and Enforcement areas. From 2004 to 2007, Mr. Eastman served as an Assistant General Counsel at FINRA, where he assisted in advising FINRA's Board and senior management on policy responses to emerging regulatory issues, and he prepared rules and provided interpretive advice on a range of issues. Mr. Eastman previously was an Associate for four years in Schiff Hardin's Securities and Futures Regulation Group, and he served for three years at the SEC, first as Senior Counsel in the SEC's Office of the General Counsel and then for two years as counsel to the late Commissioner Paul Carey. Mr. Eastman began his legal career at Covington & Burling.
Mr. Eastman earned his J.D., cum laude, from Harvard Law School in 1995 where he was an Earl Warren Legal Training Scholar and served as a Teaching Fellow in Harvard University's introductory economics program. He graduated from the University of Maine in 1992, with a B.A. in Economics, Highest Honors, Highest Distinction.
Karen B. Dietrich
Associate Director, Office of International Affairs
Public Company Accounting Oversight Board
Karen Dietrich is an Associate Director of International Affairs at the PCAOB. Her responsibilities include representing the Board in discussions with non-U.S. regulators, assisting in the development of the Board’s international policies and providing legal advice regarding the oversight of non-U.S. audit firms that operate in U.S. capital markets.
Prior to joining the PCAOB, Ms. Dietrich practiced law with firms in Boston and Washington, D.C. She specialized in securities litigation, white collar criminal and civil enforcement matters, and complex commercial litigation. While in private practice, Ms. Dietrich worked on a number of cases involving allegations of accounting and auditor misconduct. Ms. Dietrich earned a B.A. with distinction and a J.D. with high honors, both from the University of North Carolina at Chapel Hill, where she was also a Morehead Scholar.
Reid Feldman
Partner
Kramer Levin Naftalis & Frankel LLP
Reid Feldman is a partner in the law firm of Kramer Levin Naftalis &
Frankel LLP, resident in its Paris office. He has been engaged in the
practice of law in France and in the United States for many years, and has
broad experience in general corporate matters; insurance and reinsurance;
finance; and litigation (including arbitration). He has handled numerous
French and cross-border acquisitions, restructurings and other corporate
and financial transactions.
Mr. Feldman is a member of the bars of Paris and Washington, D.C. He
received his education at Columbia University (B.A.), Yale Law School
(J.D.; member, Yale Law Journal) and Oxford University (M. Litt.).
Mr. Feldman serves on the Board of Advisors of the Yale Law School
Center for the Study of Corporate Law and is a member of the European
Corporate Governance Institute (ECGI), the ABA International Business
Law Committee (co-chairman, European Subcommittee) and the ABA
Negotiated Acquisitions Committee (co-chair, European Deal Points
study).
Michael Zuppone
Partner, Chairman Securities and Capital Markets Practice Group
Paul Hastings Janofsky & Walker
Michael L. Zuppone is a partner in the corporate practice of Paul Hastings in New York. He serves as the chair of Securities & Capital Markets Practice Group. He practices primarily in the area of securities and capital markets representing public and private companies, underwriters and investors in domestic and international equity and debt securities offerings, including IPO's, follow on offerings, Rule 144A offerings, and other private placements. Mr. Zuppone also practices in the area of general corporate and securities law and is often consulted as outside securities counsel by many of the firm’s public company clients with respect ongoing securities compliance. He regularly counsels public companies and their boards regarding Sarbanes-Oxley and related corporate governance compliance. Mr. Zuppone’s practice also includes counseling sponsors in connection with the formation of private equity funds and portfolio transactions. He also has substantial experience in mergers, acquisitions, dispositions and joint ventures involving public and private companies and he regularly counsels investment professionals regarding securities, broker-dealer and investment advisor regulations.
Prior to entering private practice, Mr. Zuppone served as a Branch Chief in the Northeast Regional Office of the U.S. Securities and Exchange Commission (located in New York City) where he administered the office’s full disclosure program, supervising the review of initial public offering documents of startup and small business issuers. During his tenure with the SEC, Mr. Zuppone also worked extensively on broker-dealer and other securities enforcement matters, participating in the investigation and civil prosecution of various violations of the federal securities laws.
Mr. Zuppone is a member of the Business Law Section of the American Bar Association and a member of the Association of SEC Alumni. Mr. Zuppone is admitted to the State Bar of New York.
Mr. Zuppone received his B.A. degree from New York University with a double major in Economics and Politics, and his J.D. degree from Brooklyn Law School, where he was a symposium editor of the Brooklyn Journal of International Law. Mr. Zuppone completed a legal internship with the SEC while attending law school, where he obtained formative experience working on the notorious “Yuppy Five” insider trading case.
Mutual Recognition
Speaker Firms, Agency/s and Organization/s:
U.S. Securities & Exchange Commission
Public Company Accounting Oversight Board
Upcoming events.