SOX Section 404B for Small Businesses: Final Implementation
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Eugene I. Goldman
Partner, Co-Chair, Securities and Exchange Commission (SEC) Defense Group, Former, Senior Counsel, SEC’s Division of Enforcement
McDermott Will & Emery LLP

Eugene Goldman is a partner in the law firm of McDermott Will & Emery LLP based in the Firm's Washington, D.C. office. He is co-chair of the Securities and Exchange Commission (SEC) Defense Group and a partner in the Firm’s Trial Department. Eugene represents domestic and international clients before the SEC in financial fraud, false disclosure, insider trading and other securities enforcement proceedings. Eugene also represents clients in shareholder litigation and internal investigations. He is a member of the Securities Litigation Advisory Committee of the National Chamber Litigation Center.

Eugene regularly counsels clients on trading and disclosure issues, and on the Sarbanes-Oxley Act, with emphasis on auditor independence issues and tax and other non-audit services.

Eugene previously served as senior counsel in the SEC’s Division of Enforcement in Washington, D.C. He directed prosecutions in a wide variety of areas, including insider trading, undisclosed self-dealing, the sale of unregistered securities, undisclosed underwriters compensation and questionable foreign payments.

Eugene spoke on securities fraud enforcement at the ABA’s 20th Annual National Institute on White Collar Crime 2006 in San Francisco.

Eugene is a member of the Board of Arbitrators of the National Association of Securities Dealers. He is admitted to practice in the District of Columbia and before the U.S. District Court for the District of Columbia, the U.S. Court of Appeals for the District of Columbia Circuit and the U.S. Supreme Court.

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Robert J. Lipstein
Partner in Charge of Sarbanes Oxley 404 Services
KPMG LLP

Bob, a senior partner with KPMG, has over 32 years of diverse experience serving both public and private clients, primarily in the financial services sector. He spent over 28 years as an audit partner, including 5 years as a SEC reviewing partner. Over the past 4 years he has been a partner in the Firm’s Advisory line of business focusing on matters relating to risk identification and control mitigation. He is the Firm’s Sarbanes-Oxley Section 404 Leader and a past member of the Firm’s Partnership Council. He has also participated in the Firm's Operating Committee, Audit and Advisory National Leadership Teams, the Assurance Strategy Council, the Mid-Atlantic area leadership team and the Firm's financial services leadership team. He is a past participant of the Firm’s Leadership 2000 program and the former partner in charge of the Mid-Atlantic Financial Services Practice.

Bob is a graduate from the University of Delaware and a past recipient of the University’s Alumni of the Year Award. He is also a past participant in the University of Pennsylvania's - Wharton Program- Directors Institute.

He is a member of the AICPA and PICPA. He has or currently serves on the board of directors of the following community organizations; Delaware Valley Child Care Council, Voyage House (center for homeless and runaway youth), Federation of Jewish Agencies, Junior Achievement, Council for Adult and Experiential Learning, and the National Museum of American Jewish History.

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Steven L. Siemborski
Partner, Regional Advisory Services Leader, National Solution Leader Governance Risk and Compliance
Grant Thornton LLP

Steve is a partner with 33 years of experience; 4 in industry with a Fortune 500 company, and 29 years providing professional services. He leads the Advisory Services practice in the Midwest Region, which consists of 9 offices and 150 professionals. In addition to his regional responsibilities, Steve is actively leading several client projects including 3 active SOX assignments.

Professional Service Experience
Steve’s 29 years of professional service experience stems from assurance and consulting roles at the partner level at Grant Thornton, Ernst & Young and Cap Gemini Ernst & Young. He joined the audit practice of Ernst & Young in 1976 as an accountant, progressed to a partner in 1987 and continued in that role through 1994 when he left for an industry position. He rejoined E&Y in 1998 as a consulting partner focusing on helping companies with business transformation projects. Steve joined Grant Thornton in May 2003 to build and manage a suite of Advisory Services. These services include Recovery and Reorganization; Due Diligence; Valuation; IT; Governance, Risk and Compliance; and Operational Improvement.

Industry experience
As a Board member, Steve was integrally involved in developing the strategic plan for the restructuring of the conglomerate to a manufacturer of highly engineered products. As an officer and CFO, Steve led the drive to focus the Company on its core competencies, to improve financial and operating controls and thereby improve financial integrity. His direct reports included Internal Audit, Treasury, Accounting and Tax.

Publications and presentations
Financial Executives International. Private Company Forum. Running by the Numbers: Maximizing Corporate Performance Management for Small and Medium Size Enterprises. September 2008. Rosemont, IL

Education
Steve holds a Bachelor of Science in Accounting from Marquette University.

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Sam Guzman
Senior Manager, National Audit & Assurance, Former Assistant Chief Auditor, Public Company Accounting Oversight Board (PCAOB)
Reznick Group, P.C.

Sam is a Senior Manager in the National Audit & Assurance function at Reznick Group and has more than 10 years of audit and accounting experience servicing a variety of public and private multi-national companies.

Prior to joining Reznick Group, Sam was an Assistant Chief Auditor for the Public Company Accounting Oversight Board (PCAOB) in Washington, DC. He worked in the Office of the Chief Auditor, assisting in the development of auditing and related professional practice standards, where he spent significant time working on internal control related matters, and assisted in developing and implementing PCAOB Auditing Standard No. 5. Additionally, he spent time working on risk assessment, engagement quality reviews (concurring partner review), fraud, and various other matters.

Prior to joining the PCAOB, Sam worked for Deloitte & Touche servicing a variety of public and private multi-national companies. Sam earned a Bachelor of Science degree in Accounting from Virginia Commonwealth University. He is a certified public accountant in Virginia.

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SOX Section 404B for Small Businesses: Final Implementation
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