Conference Day 1 - Thursday, October 5, 2023
In Person, Day Two -Conference Friday, October 6, 2023
October 6 @ 08:15 – 09:45 US Central Time - Rick Ordemann and Leo Munoz
Title: State of Play – Technology Solutions in Investigations
BIO: Rick Ordemann provides e-discovery and forensic technology services for RSM US. His focus is on assisting clients by analyzing and reviewing unstructured data in support of e-discovery matters and corporate investigations. Rick has extensive experience working with many Fortune 500 companies and Am Law 100 law firms. He is a thought leader in the use of machine learning and artificial intelligence technology, with more than 10 years of consulting experience in both the public and private sectors.
Prior to joining RSM, Rick led the discovery services analytics at an e-discovery firm. Rick also worked for a Big Four accounting firm as a lead specialist, a management consulting firm as a data analytics specialist, and a multinational professional services and information technology company as a lead systems analyst. Rick has also worked directly with several corporations on secondment.
Leo Munoz is also a Director for RSM in Financial Advisory Services. He has more than 25 years of accounting, finance, and management experience in public accounting, in industry, and as a business owner. He spent 6 years in public accounting in the audit department of a national public accounting firm, 9 years in various director-level financial positions with a publicly held company. He hassignificant experience providing litigation consulting and forensic accounting services—including as an expert witness on behalf of clients—performing internal investigations, applying and evaluating financial reporting methods, responding to allegations of accounting and auditing malpractice, asset tracing engagements, and other complex financial and accounting issues. He is a co-host of the inSecurities Podcast from the Practicing Law Institute, and an Adjunct Professor at the Antonin Scalia School of Law at George Mason University.
Breakout 1: October 6 @ 10:00 -10:50 US Central Time Rebecca Baker and Jeff Johnston
TITLE: Conducting effective & efficient internal investigations
DESCRIPTION: Internal investigations are key to good corporate governance when the board of directors and general counsels are presented with allegations of misconduct. An effective internal investigation equips the company with information necessary to make appropriate business and employment-related decisions. This program will outline the key decision points in structuring and conducting internal investigations, practical tips to manage the scope and expense of an investigation, and advice on how to respond to whistleblowers, avoid retaliation claims, and navigate additional employment-related concerns.
BIO: Becky Baker has extensive experience at Vinson & Elkins in managing the labor and employment aspects of complex business sales, acquisitions and other transactions. She also represents employers in all aspects of the employment relationship. Becky is a Chambers-ranked partner in the firm’s Employment, Labor & OSHA group. She counsels and represents employers in all aspects of the employment relationship, including employment-related investigations. Her clients span a variety of industries, including energy, transportation and logistics, manufacturing, hospitality, healthcare, and banking
Jeff Johnston’s practice focuses on Vinson & Elkins on shareholder litigation and government and internal investigations. Jeff represents companies, officers, directors, and auditors in securities litigation, fiduciary duty litigation, DOJ and SEC investigations, and internal investigations, and he counsels clients on issues related to the Foreign Corrupt Practices Act. Jeff also advises clients on various cybersecurity issues, including governance, incident response, and data breach notifications. Jeff is a Chambers-ranked litigator with over two decades of experience in shareholder litigation and government and internal investigations. Jeff represents clients in securities litigation, DOJ and SEC investigations, and internal investigations.
Breakout 2: October 6 @ 10:00 -10:50 US Central Time Michael E. Anderson
TITLE: The Ethics of Enron
DESCRIPTION: Enron, the case that defined corporate fraud and made infamous its C-suite executives. Retired FBI Agent Michael E. Anderson, who led the FBI Houston Enron Task Force, provides an inside, behind the scenes look at Enron’s corrupt and unethical leadership, toxic culture and fraudulent accounting that contributed to the failure of the seventh largest company in America. The presentation gives a retrospective on investigating the largest and most complex White Collar Crime case in FBI history resulting in 23 convictions and more than $105 million forfeited to the victims. Included are common sense ethical takeaways relevant to every occupation and industry.
BIO: Michael Anderson was the former FBI Assistant Special Agent for the Federal Bureau of Investigation, in charge of the White Collar Crime Program and investigated the Enron fraud. Michael E. Anderson served with the FBI for more than 28 years before retiring in November 2017. Throughout his career, Agent Anderson primarily investigated and supervised complex financial crime matters. He opened the Enron investigation in December 2001 and served as supervisor of the Enron Task Force in Houston for its nearly five-year existence. The investigation resulted in 23 convictions and more than $105 million forfeited to the victims of the fraud. In September 2006, Agent Anderson was awarded the Attorney General’s Award for Exceptional Service, the highest award given by the Department of Justice, for his leadership of the Enron investigation. He has lectured about the Enron case around the country and in Hong Kong. Agent Anderson holds a Master of Business Administration degree with Distinction from the University of Louisville and is a Certified Fraud Examiner.
Breakout 1: October 6 @ 10:55 -11:55 US Central Time Erik Lioy and Sean Sarsfield
TITLE: Investigating Fraud - 72 Hours to Get It Right
DESCRIPTION: Through analysis of publicly reported investigations, Erik Lioy and Sean Sarsfield, FORVIS professionals, will explore the root cause of the failures. Their presentation will show that the seeds of failure are often sowed in the first 72 hours of an investigation. They will focus on themes and practical recommendations that the audience can use to prevent future mishaps, including proper planning, early identification of conflicts of interest and contamination of evidence. They will refer to real-world examples ripped from the headlines.
BIO: Erik Lioy is a FORVIS, LLP* partner and a member of FORVIS’ Forensics and Valuation practice. Prior to joining FORVIS, Erik spent more than 15 years with an international accounting firm where he served in national and global leadership roles. He has also held senior financial management positions with companies in the technology and construction sectors. Erik’s work in business disputes and litigation includes serving as an expert witness, serving as a consulting expert. Erik’s experience also includes leading board and internal investigations of alleged violations of the Foreign Corrupt Practices Act (FCPA), False Claims Act (FCA), Physician Self-Referral Law (Stark), Anti-Kickback Statute (AKS), Securities Exchange Commission (SEC) financial reporting standards, as well as general fraud statutes. His investigations have led to financial restatements, settlements with regulators, criminal convictions, and successful recovery of losses from insurance carriers and perpetrators.
Erik speaks regularly to various professional organizations including presenting at the Association of Certified Fraud Examiners Global Fraud Conference in 2021 and 2022. He has been quoted in the New Yorker, Charlotte Business Journal and Accounting Today. He serves on the advisory board for the Henry C. Lee College of Criminal Justice and Forensic Sciences at University of New Haven and served on the American Institute of Certified Public Accountants’ COVID-19 Damages Task Force. Erik is also a recipient of the Dr. D. Larry Crumbley Award for Outstanding Service by Pfeiffer University in connection with developing and teaching a master’s level class on forensic accounting. Erik earned an MBA from the University of Pittsburgh and Bachelor of Science in Business Administration from Duquesne University.
Sean Sarsfield is a Director with FORVIS’ Forensics & Valuation Services division, and leads its Houston forensics practice, providing forensic accounting, fraud investigation, business valuation, and litigation support services. In addition to being a CPA, Sean has the following accreditations: CVA (Certified Valuation Analyst), CFF (Certified in Financial Forensics), and CFE (Certified Fraud Examiner). For over twenty-one years Sean has provided advice to attorneys, executives, and shareholders to assist them throughout the dispute process. He has extensive experience guiding his clients through the duration of the legal process, from initial fact gathering and discovery through arbitration, mediation, and trial. This includes preparation for the deposition of fact and opposing expert witnesses, providing opinions through expert witness reports and testimony, and assistance with trial preparation. Sean also provides fraud detection and forensic accounting services for the investigation of allegations of embezzlement, misappropriation of assets, financial reporting fraud, and breach of fiduciary duty. Sean has determined economic damages and lost profits in various types of disputes, including breach of contract cases, business torts, and intellectual property disputes. He also provides guidance in regards to business interruption claims and assisted one of the largest Oil & Gas companies in the world in their defense of tens of thousands of economic damage claims. Sean has presented to attorneys, CPAs, and other professionals on various topics including forensic accounting and fraud investigation, business interruption, and the quantification of economic damages. Currently, he serves on the “Forensic, Litigation and Valuation Services” committee for the Texas Society of Certified Public Accountants.
October 6 @ 10:55 -11:55 US Central Time Darren Schlosser
TITLE: Vehicle Finance Fraud & Dealership Networks in Houston
DESCRIPTION: Sgt. Darren Schlosser of the Houston Police Department will be discussing vehicle finance fraud in Houston. Fraudsters use synthetic and stolen identifies to attempt to secure financing and vehicles from dealerships in the Houston area. Sgt. Schlosser has pioneered a comprehensive technique including data analytics, communication networks with dealerships, financial institutions, the media, and the community to fight fraud and protect consumers in the Houston area.
BIO: Darren Schlosser is the sergeant of the Auto Theft Division -Vehicle Fraud Unit at the Houston Police Department. He is a member of the Texas Association of Auto Theft Investigators and the International Association of Auto Theft Investigators. Additionally, he teaches law enforcement and industry stakeholders across the nation about vehicle finance fraud. Schlosser received an Associates of Applied Science in Computer Drafting from San Jacinto College.
Breakout 1: October 6 @ 1:00 PM – 2:40 PM Central Time Gabriella Marshall
TITLE: Why are my Insurance premiums increasing??
DESCRIPTION: This presentation will address the costs of insurance fraud, the types of insurance fraud that are prevalent in the Houston area, and the specific relationship between litigation and fraud in auto and trucking accidents. Staged accidents, collusion between attorneys and medical providers to commit fraud in Texas and in the Houston area will be explained. We will also discuss how insurance carriers fight fraud on behalf of their policyholders.
BIO: Gabriella Marshall is a Certified Fraud Examiner and a Certified Fraud Insurance Investigator. She was the 2021 Investigator of the year for the International Association of Special Investigation Units (IASIU). Gabriella has been a fraud investigator for 27 years, most recently with Nationwide Insurance and before that with Hewlett-Packard, AIG, and the State of Texas Medicaid OIG. She is also the president of the Houston Chapter of the Association of Certified Fraud Examiners and has served on the board of the Texas Association of Special Investigation Units. When not investigating fraud or serving the Houston ACFE, Gabriella serves her church community and also has a passion for special education advocacy persons with disabilities, for the hearing impaired, and for persons with attention deficit disorder. Gabriella is a graduate of Georgetown University, School of Foreign Service, in Washington DC.
Breakout 2: October 6 @ 1:00 PM – 2:40 PM Central Time Jovita Nsoh
TITLE: Cybersecurity Workshop: Cybercriminals, Tools, Exploits, and Incident Handling
DESCRIPTION: This presentation will equip participants with the knowledge and hands-on experience to understand, identify, and respond to threats posed by cybercriminals, emphasizing Advanced Persistent Threats (APTs) and their Tactics , Techniques, and Procedures (TTPs).
BIO: Dr. Jovita Nsoh ['Soh] has over 26 years of progressive experience executing key technology strategies and leading large, distributed cross-functional teams using agile software development methodologies. In addition, Dr. Nsoh has a deep understanding and technical expertise in complex technology deployments, digital transformation, and technology insights for various industries, public sector (civilian, defense, & intelligence community), emphasizing the Industrial Internet of Things (IIoT), Artificial Intelligence, cybersecurity issues related to critical infrastructures such as energy, water, autonomous systems, and the intelligent supply chain. His research interests include security for emerging trends and technologies such as Industrie 4.0/5.0, 5G, Internet of Things (IoT), neural networks, and Artificial Intelligence (AI).
Dr. Nsoh was previously the Vice President of cybersecurity at JPMorgan Chase Bank North America. He was previously the Regional CTO in Microsoft's public sector team for the Americas. In that capacity, he was directly involved in high-profile cybersecurity and transformational projects. Working across multiple countries and cultures, Dr. Nsoh and his team led projects that digitally transformed companies, governments, and municipalities. Dr. Nsoh was also recently the Director of Risk Intelligence and Compliance at Microsoft's Cyber Defense and Industrial network team, where he focused on protecting Microsoft's critical OT infrastructure. His professional career also landed him high-profile roles at Verizon Communications, ConocoPhillips, and HPE, amongst others.
October 6 @ 3:00 PM – 4:00 PM Central Time Allen Mitchell
TITLE: Business Email Compromise – A vendor’s email system has been compromised. What now?
DESCRIPTION: A vendor’s email system was compromised exposing a Fortune 500 company to a potential loss of $7 million. This presentation looks at the points of failure within the engaged companies and a multinational bank. We’ll look at steps taken to contain the damage and changes made to the operational and internal control environment. We’ll also look at the impact of Federal law enforcement and issues considered when dealing with the vendor and the bank.
BIO: Allen Mitchell, Certified Fraud Examiner, recently retired from Waste Management as Security Director. He was responsible for investigations into fraud as well as violations of Corporate, ethical and compliance standards. He co-developed and was a member of the company’s International compliance committee. Prior to his career with WM, he was a Supervisory Special Agent with the FBI. The FBI recruited him from Aetna where he was an internal auditor. While with the FBI he was responsible for numerous complex organized crime and white-collar crime investigations including the failure of financial institutions. His work at WM was notable for collaboration with WM’s Finance department to identify and correct underlying process failures including internal controls, resolve the failings and recommend enhancements.