SEC Investigations: What to Do and Know in 2018
With the unceasing developments in the securities laws under the current administration, the previous year has brought significant challenges on how the Securities and Exchange Commission (SEC) carry out their enforcement activities. 2017 has also witnessed a decrease in SEC's total enforcement statistics.
However, as the new leaf turns in the securities landscape with growing complex rules, regulations and legal issues, a sudden surge of enforcement actions are expected to surface this 2018.
In this LIVE Webcast, a panel of thought leaders and professionals brought together by The Knowledge Group will provide the audience with an in-depth analysis of the fundamentals as well as recent updates in the SEC litigation landscape. Speakers will also present best practices and practical tips to avoid potential risks and pitfalls.
Key topics include:
- SEC Investigations: A 2018 Perspective
- Significant Court Decisions
- Federal and State Regulatory Developments
- Identifying Risks and Legal Pitfalls
- Best Practices
- What Lies Ahead
- Current leadership
- SEC enforcement trends and initiatives
- Recent legal decisions
- Sources of investigations
- SEC investigation process
- Financial reporting, disclosure and controls
Gartenberg Gelfand Hayton LLP
- How an investigations begins
- A formal Order of Investigation
- Responding to a subpoena
- Providing testimony
- Wells Submission
- Percentage of SEC actions that result in settlements
U.S. Securities & Exchange Commission
- Will follow-up/add context where needed on the Investigation items discussed by Milena.
- Current areas of interest for the SEC:
- Retail Investors
- Whistleblowers; 21F-17 (Confidentiality Agreements); Retaliation
- Others [Happy to take suggestions]
- Recent Cases of Interest
- Kokesh (Disgorgement)
- Lucia (ALJs)
- Yahoo (cybersecurity)
- Digital Realty Trust (Whistleblowers)
- MCDC (municipality continuing disclosure cooperation initiative)
- SCSD (share class selective disclosure initiative)
Who Should Attend:
- Securities Attorneys
- Transactional Attorneys
- Securities Litigators
- Securities Litigation Officers
- Shareholders and Executives
- Corporations and Investors
- Financial Management Officers
Susan oversees matters involving corporate financial reporting, regulatory investigations, whistle-blower actions, Foreign Corrupt Practices Act (FCPA) enforcement, and internal controls. Formerly at the US Securities and Exchange Commission (SEC), she served as chief accountant of the enforcement division. She has a Bachelor of Science in accounting from the University of Akron, is a CPA and certified in financial forensics. Susan has received several awards including the SEC’s Distinguished Service Award in 2006 and The National Law Journal's 2014 "Governance, Risk and Compliance Trailblazer and Pioneer". She is a speaker nationally and internationally on public reporting and accounting related to financial fraud investigations and other enforcement actions involving the SEC and other government entities.
Susan oversees matters involving corporate financial reporting, regulatory investigations, whistle-blower actions, Foreign Corrupt Practices Act (FCPA) enforcement, and internal controls. …
Ms. Dolukhanyan is well versed in all aspects of litigation from inception to completion, including initial pleadings, discovery, motion practice, trial and post-trial proceedings. Ms. Dolukhanyan’s practice includes litigation, general arbitration claims, mediations, SEC, state regulatory and FINRA investigations. Specifically, Ms. Dolukhanyan has extensive experience in complex business litigation, EB-5 investigations and litigation, commercial landlord/tenant disputes, SEC investigations and broker/dealer relations. Ms. Dolukhanyan has successfully represented clients in trials and has successfully negotiated multiple settlements both with regulatory authorities and private parties. She also has experience representing both financial institutions and individual brokers in FINRA arbitrations.
Ms. Dolukhanyan received several awards for achieving academic excellence throughout law school.
Ms. Dolukhanyan is well versed in all aspects of litigation from inception to completion, including initial pleadings, discovery, motion practice, …
Eric Werner is the Associate Director of the Securities and Exchange Commission’s Fort Worth Regional Office, where he heads the agency’s enforcement activities in Texas, Oklahoma, Arkansas, and Kansas. Prior to his appointment as Associate, Mr. Werner worked at the SEC as a staff attorney conducting investigations and in the Office of Chief Counsel, and in supervisory positions as Branch Chief and Assistant Director where he was a member of the Complex Financial Instruments Unit and the Public Finance Abuse Unit. Mr. Werner has worked on matters involving virtually every aspect of the securities markets, including financial fraud, hedge funds, insider trading, market manipulation, municipal securities, offering fraud, broker-dealers, and investment advisers. Mr. Werner earned his law degree from the Washington University School of Law and his undergraduate degree from Occidental College.
Eric Werner is the Associate Director of the Securities and Exchange Commission’s Fort Worth Regional Office, where he heads the …
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Method of Presentation:
On-demand Webcast; Group-Internet Based
Basic Knowledge in Securities Laws
NASBA Field of Study:
Business Law - Technical
NY Category of CLE Credit:
Areas of Professional Practice
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U.S. Securities & Exchange Commission
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