Steven Heineman

• Managed strategy and defense of significant litigation and regulatory liabilities retained by Convergex Holdings and its private equity sponsor, GTCR, following June 2017 strategic sale of operating subsidiaries of Convergex Holdings to Cowen Group. • Provided legal advice and consulting services including concerning corporate governance and wind-down of holding company. • Liaised among senior management teams of Convergex and Cowen. • Supervised outside counsel.

• Recruited by Board of Managers and executive management of private equity-backed global institutional brokerage and FinTech firm that was the target of ongoing parallel DOJ and SEC fraud investigations. Convergex was a diversified holding company with over 1,200 employees and operating subsidiaries/broker-dealers and offices throughout the United States and in London and Hong Kong. • Successfully managed and resolved DOJ/SEC investigations, enhanced firm’s ethics and compliance program and stabilized and improved Legal and Compliance functions, positioning Convergex for financial recovery and ultimately its sale in three separate transactions. • Advised Board of Managers and Audit & Risk Committee regarding legal, compliance and regulatory matters. • Member of firm’s Executive Committee and Management Committee setting overall strategy and priorities regarding existing and new products and services, organizational structure, risk management, regulatory developments and personnel matters. • Managed all aspects of Legal and Compliance Department, including transactional matters, corporate compliance, litigation, regulatory inquiries and investigations, development and implementation of policies and procedures, recruiting, training and professional development. • Integral to successful sale in 2014 of FinTech subsidiaries Eze Castle Software and RealTick to private equity firm TPG, sale in early 2017 of Convergex’s Options Trading and Technology assets to Dash Financial, and sale of Convergex to Cowen in June 2017. • Managed relationships with all US and UK regulators and significant shareholders. • Drove significant reduction in outside counsel spend year over year. • Ultimate responsibility for firm’s Human Resources and Facilities/Office Services Departments. • Oversaw Internal Audit function. • Managed firm’s insurance program from underwriting to claims. • Developed strategies and content for internal/external corporate communications.

• Overall responsibility for Legal and Compliance Departments in Americas Region of French corporate and investment bank and its broker-dealer subsidiary, active in global financing, derivatives, securities sales & trading, FX, commodities and investment banking. • Managed approximately 100 Legal and Compliance Professionals in the U.S., Canada and Brazil. • Responsible for overseeing all transactional legal matters, multi-jurisdictional litigation and investigations, and employment law issues. • Managed bank’s relationships with its U.S. regulators, including the Federal Reserve, the New York State Department of Financial Services, the SEC and FINRA. • Managed U.S. legal and regulatory aspects of various corporate crises including the Jerome Kerviel rogue trading scandal, the collapses of Lehman Brothers and Bear Stearns during the 2007-2008 financial crisis, and the Federal Reserve bailout of AIG Financial Products. • Active member of Global Legal Steering Committee comprised of SG’s senior lawyers globally, as well as SG Americas Management Committee, Operational Risk Committee, Complex Transactions and Reputation Risk Committee and Accountability Committee. • Played key leadership role in acquisition and subsequent sale of North American power and natural gas trading firm.

• Managed litigation and arbitration matters for all business lines in the U.S., including numerous securities class actions, antitrust matters, suitability/misselling claims related to structured and derivatives products and more than one dozen customer arbitrations arising out of Ponzi scheme by former retail branch manager Frank Gruttadauria. • Represented and advised firm in SEC, SRO and grand jury investigations and proceedings including alleged insider trading, collusion/manipulative trading, and theft/embezzlement of trade secrets. • Conducted internal corporate investigations. • Responded to regulatory inquiries and customer complaints. • Oversaw subpoena compliance function. • Designed and implemented policies, procedures and remedial measures for compliance with applicable laws and regulations. • Provided legal advice and due diligence support in connection with spin-off of SG Cowen Securities LLC and related IPO of Cowen Group, Inc.

• Responsible for all aspects of civil litigation, including pleadings, motion practice, discovery, arbitration/trial and settlement. • Represented clients in white collar criminal proceedings and SEC enforcement actions and conducted internal investigations in the U.S. and abroad. • Significant civil litigation matters included defense of class actions and Article 78 proceeding relating to “demutualization” of insurance company, prosecution of $90 million fraud and breach-of-contract claims resulting from failed corporate merger, and defense of pharmaceutical company in multi- district product liability actions. • White collar matters and investigations included representation of senior bank executive in money laundering investigation, representation of software company in SEC enforcement action involving revenue recognition issues, and internal investigation of conflict-of-interest allegations against officer of foreign cosmetics manufacturer.

• Handled all phases of criminal investigations and prosecutions in General Crimes and Major Crimes Units. • Conducted nine jury trials and dozens of grand jury proceedings and evidentiary hearings. • Briefed and argued appeals in Second Circuit Court of Appeals. • Noteworthy cases included international conspiracy to sell Old Master artworks stolen during WWII, multi-million dollar health insurance fraud, computer sabotage against a major publishing company, and armed “home invasion” robberies.