ALPFA NY: 5th Annual Finance Summit
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December 5, 2012 | 5:30 pm - 9:00 pm
Deutsche Bank - 60 Wall Street
60 Wall Street
New York, NY




Keynote: Joseph Polizzotto - General Counsel, Americas, Deutsche Bank

Moderator: Monica Bertran - Communications & Media Manager, Bloomberg


Cary Hall - VP, Private Wealth Management, UBS

Timothy Hedley - Partner, Forensic Practice, KPMG

Angel Lorente - Executive Director, Institutional Securities Group, Finance Division, Morgan Stanley

Samir Pandiri - Executive Vice President, Asset Servicing – Americas, BNY Mellon


Speaker Bios:

Joseph Polizzotto - General Counsel, Americas, Deutsche Bank

Commencing in March of 2009, Joseph Polizzotto has been a Managing Director and the General Counsel for the Americas of Deutsche Bank.  Since 1989, he has held several different positions in the securities industry, including serving as General Counsel of Lehman Brothers from 1999 to October 2008.  Mr. Polizzotto is a 1975 graduate of Columbia College and a 1978 graduate of New York University School of Law, where he was a Note Editor of the Law Review.  He started his legal career as a law clerk to the Honorable Joseph F. Weis, Jr., Circuit Judge, United States Court of Appeals for the Third Circuit.  From 1980 to 1989, Mr. Polizzotto was with the law firm of Cadwalader, Wickersham & Taft, where he practiced in the litigation area.  Mr. Polizzotto is involved in a number of securities industry activities and is a past Chair of SIFMA’s Federal Regulation Committee (now called the General Counsel Committee).  In recognition of his work on behalf of the securities industry, Mr. Polizzotto received a Distinguished Leadership Award from the Securities Industry Association in November 2002.  Mr. Polizzotto has also been active in alumni affairs at NYU Law School, where he has served both as a past President of the NYU Law Review Alumni Association and as the Chair of the Reunion Committee for his 25th anniversary graduating class in 2003.  He is a member of the Boards of Trustees of the New York Legal Assistance Group (“NYLAG”) the Cabrini Mission Foundation and The Berkeley Carroll School.


Monica Bertran - Communications & Media Manager, Bloomberg

Monica Bertran is Bloomberg LP’s in-house anchor and manager of the internal multi-media video unit, building on a 20-year career as an on-air reporter for Bloomberg Television and Radio. In 2011, Monica transitioned from on-air personality to employee communications specialist. She works with internal clients, including Bloomberg's executive team, to develop messages and create multimedia presentations that enhance the Company's reputation internally and externally, from the company’s Town Hall meetings and panel discussions to product launches and regular contributions to Bloomberg’s employee news portal. Monica also anchors Bloomberg “Honor Roll” segments, part of Bloomberg Radio's weekly “Bloomberg EDU” education show, where she highlights individuals or programs that promote education and have a positive impact on students.

Previously, Monica served as an anchor/reporter for a number Bloomberg Television's top programs, including regular reporting assignments from the floor of the New York Stock Exchange and the NASDAQ Market Site, where she was the first Bloomberg reporter to initiate live coverage for the network. During her career, she has interviewed many global financial newsmakers, including Cisco’s John Chambers, Marriott’s Bill Marriot, TD Ameritrade’s Joseph Moglia, Toll Brother’s Doug Yearly, and Union Pacific Railroad’s James Young.

Prior to joining Bloomberg in 1992, Monica was a reporter at CBS Radio and 1010 WINS in New York and WHDH in Boston. She began her television career at WVUE in New Orleans. She has reported and produced television and radio programming for a number of other media outlets in the top 20 media markets.

Monica serves on the Board of Directors for the YWCA of White Plains and Central Westchester, and serves on the executive board of Zeta Phi Beta Sorority, Westchester Chapter.


Cary Hall - VP, Private Wealth Management, UBS

Cary Hall is a vice president of investments and wealth advisor at UBS. He has worked in the financial markets for two decades.

Prior to the financial and capital markets, he served as a Captain in the US Army and specialized in telecommunications, microwave, and satellite systems. He was awarded the Army Achievement medal with clover leaf and the Army Accommodation medal for superior execution of tactical telecommunication exercises.

Mr. Hall started a career at Merrill Lynch as a financial consultant in 1993. Four years later he was promoted into management.  In 1999 he was recruited by UBS to advise clients again. He quickly gained recognition by graduating #1 in UBS/PaineWebber's Northeast Division training class.

He started building his client base one client at a time, acquiring his clients through educational seminars, networking, and referrals. His client base now spans across the United States.  He hired and built his own team at UBS called the CLH Group to assist him in servicing his clients. He focuses on being the point person for each client while monitoring all investments and giving each client one-on-one tailored recommendations and investment ideas.

He also advises his clients on various wealth preservation, growth and wealth distribution strategies. He is passionate about helping his clients realize success by helping them achieve their financial goals and dreams. He works with qualified individual investors, business owners, institutions, and also with high-profile clients in the sports and entertainment industries.

Mr. Hall has been a frequent speaker on many topics, such as wealth management, leadership, and networking since 1999. He continues to present today at many universities, organizations, and conventions nationwide.


Timothy Hedley - Partner, Forensic Practice, KPMG

Dr. Hedley is a Partner in KPMG LLP's Forensic practice where he serves as Global Lead for the firm’s Fraud Risk Management service offerings.  He provides his clients with a wide range of forensic services by assisting with the prevention, detection and response to fraud and misconduct.  He is a member of the Board of Directors of the New York State Society of CPAs and is co-author of the book, “Managing the Risk of Fraud and Misconduct: Meeting the Challenges of a Global, Regulated and Digital Environment,” published by McGraw-Hill.

Investigative and Integrity Advisory Experience

·      Works with companies to respond to allegations of fraud or misconduct, including, among others, allegations involving earnings management, bribery, corruption and kickbacks, counterfeiting, construction fraud, Ponzi schemes and employee theft.

·      Builds methodologies and tools to assess the effectiveness of anti-fraud, corporate compliance, and integrity programs for multinational business organizations.

·      Conducts fraud and compliance risk assessments for clients in such industries as automotive, retail, food & beverage, consumer products, manufacturing, financial services, information services, utilities, defence, waste, energy services and telecommunications.

·      Designs and conducts fraud awareness and compliance training programs.  This includes instructing and helping companies identify key training areas, design case studies, and roll out train-the-trainer programs.

·      Works with companies to benchmark their anti-fraud and compliance efforts against recognized industry practices.  Also, helps clients establish baseline key performance indicators to monitor progress.

·      Coordinates detailed internal audit testing of identified fraud, compliance and integrity risk areas, including, among other areas, cash, FCPA, conflicts of interest, equal treatment, and anti-trust.

·      Assists with the design, implementation and evaluation of corporate fraud investigative units.

·      He has worked on KPMG’s efforts to build a model ethics and compliance program.  This service    included serving on the Firm’s Legal and Compliance Committee, chairing the Code of Conduct taskforce and chairing the Investigative Process Enhancement taskforce.


Angel Lorente - Executive Director, Institutional Securities Group, Finance Division, Morgan Stanley

Angel Lorente is an Executive Director in the Institutional Securities Group Finance Division responsible for Risk Management. 

In his current role, Angel is utilizing his extensive product control and Finance infrastructure experience to manage the operational risk and control environment for the division.  This includes providing guidance on a number of risk and control initiatives that impact product controllers.

Angel started with Morgan Stanley in 1996 as an accountant for Dean Witter Discover.  After the merger between Dean Witter and Morgan Stanley, he transferred to the Institutional side of the business working in the Treasury Controllers department.

From 1998 to 2002, Angel worked in a variety of roles in Treasury Controllers including the long-term and short-term debt controller, the currency management controller, and the funding and interest allocation controller.

In 2002, Angel joined the Global Product Control Group as a controller for the Convertible Bond business.  Since joining Product Controllers, Angel has taken on multiple managerial and leadership positions across various products and businesses.

Angel is the committee chair for ALPFA at Morgan Stanley and is involved in a number of Diversity & Inclusion initiatives.  In 2012, he was awarded the ‘Most Impactful Diversity Lead’ by Campus Recruiting and was a finalist in the People category for the Finance Recognition Awards.

Prior to joining Morgan Stanley in 1996, Angel worked full-time as an accountant for a small commercial bank while attending Baruch College to earn his undergraduate degree in Bachelors of Business Administration.  Angel received his Masters of Business Administration degree from Pace University.


Samir Pandiri – Executive Vice President, Asset Servicing – Americas, BNY Mellon

Samir Pandiri, is Head of Americas Asset Servicing and CEO of BNY Mellon’s Alternative Investment Services (AIS) and AIS Prime Custody businesses.

Samir joined BNY Mellon in 2005.  From 2009 and 2011, he served as CEO of BNY Mellon Shareowner Services, where he was responsible for the operational and financial performance of BNY Mellon’s equity administration services business.  In that role, he successfully managed the sale of the business to Computershare at the end of 2011.  Previously, he was responsible for managing BNY Mellon’s International Corporate Trust business, which included Asia Pacific, EMEA and the America’s regions.

Prior to joining The Bank of New York Mellon, Samir spent 11 years at JPMorgan Chase in its corporate trust division, with expatriate business management assignments in Hong Kong, London and in New York. He also spent four years with Bankers Trust in New York covering the US Public Utilities and Global Project Finance sectors within their corporate trust group.

Samir is a member of The Bank of New York Mellon Operating Committee, the EMEA Management Committee and is also a member of the Bank’s Global Diversity Council.

Samir holds B.S and M.S. degrees in Chemical Engineering and M.B.A. in Finance, all from Columbia University, New York. 




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