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Boston Hosts Regional Securities Conference for Regulators, Investigators and Prosecutors
OCTOBER 11, 2012

Boston – Over 200 federal and state regulators, investigators, and prosecutors met today at the 2012 New England Securities Conference to discuss the complex and evolving environment of securities regulation and the detection and prosecution of sophisticated financial crimes.  The conference was led by David P. Bergers, Director, of the Boston Regional Office for the Securities and Exchange Commission.

The conference, held at the Federal Reserve Bank of Boston, followed an event held Wednesday evening at the United States Courthouse where U.S. Attorney Carmen M. Ortiz and Special Agent in Charge Richard DesLauriers of the Federal Bureau of Investigation’s Boston Field Division thanked the conference attendees for their continued efforts to ensure that financial services industry personnel comply with the law.    Mary Schapiro, Chairman of the Securities and Exchange Commission, Robert Khuzami, Director of Enforcement for the Securities Exchange Commission, and William Francis Galvin, Secretary of the Commonwealth addressed attendees. The conference was also sponsored by the Massachusetts Secretary of State’s Office.

Experts covered topics of financial regulatory reform, high frequency trading, new investigative techniques for detecting financial crimes, and implementation of the SEC’s whistleblower program.  A panel discussion also occurred regarding coordination between criminal and civil authorities.

U.S. Attorney Ortiz said, “In many ways, the diversity and the significance of the financial services industry in this region reflects its growing importance to the national economy.   Virtually every citizen is touched in some way by the financial services industry, whether through a pension, a 401k, a home loan, or a student loan.  Not only has it grown in importance, but the financial services industry has also become an increasingly complex industry making our jobs as regulators, investigators and prosecutors more difficult.”

Conference attendees included those from the following offices and agencies: the Arkansas Securities Department; Connecticut Attorney General’s Office; Connecticut Department of Banking; Department of Business Regulation in Rhode Island; Department of Financial Regulation, Securities Division in Vermont; Department of Justice , Office of the Trustee; FDIC; Federal Bureau of Investigation in Massachusetts, Connecticut, New York, New Hampshire and Washington, D.C.; the Federal Reserve Bank of Boston; FINRA in New York, Maryland, Massachusetts, New Jersey and New York; Harvard Law School; Internal Revenue Service, Criminal Investigation; Maine Office of Securities; Massachusetts Division of Banks; Massachusetts Securities Division; MIT Sloan School of Management; National Futures Association; New Hampshire Bureau of Securities Regulation; New Hampshire Department of State; New Hampshire Insurance Department; North American Securities Administrators Association; Office of Attorney General Martha Coakley; Office of the U.S. Trustee; Public Company Accounting Oversight Board; Rhode Island Securities Division; Rhode Island State Police; Special Inspector General for the Troubled Asset Relief Program; TABB Group; U.S. Attorney’s Office in Connecticut, Maine, Massachusetts, Rhode Island and New York; U.S. Department of Labor, Employee Benefits Security Administration; U.S. Postal Inspection Service; U.S. Secret Service; and U.S. Securities Exchange Commission.

For more information on President Obama’s Financial Fraud Enforcement Task Force, please visit   


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