SEC Investigations, Accounting and Disclosure Fraud: Critical Issues for 2016 and Beyond

Broadcast Date: Tuesday, December 13, 2016 from 12:00 pm to 2:00 pm (ET)
Jay A. Dubow
William P. Barry
Elizabeth P. Gray


About Pepper Hamilton LLP

Pepper Hamilton LLP is a multi-practice law firm with more than 500 lawyers nationally. The firm provides corporate, litigation and regulatory legal services to leading businesses, governmental entities, nonprofit organizations and individuals throughout the nation and the world. Our firm has grown from a two-person law office formed in 1890 in Philadelphia to a large, sophisticated law firm with a national and international practice.

Pepper’s Securities and Financial Services Enforcement Group is a client-centric group of lawyers with particularized expertise in the enforcement process. The group was created to recognize the reality that companies that provide financial services are multi-faceted and, therefore, are subject to a wide range of regulatory regimes. Our goal is to meet you, the client, where you are; not to try to pigeon-hole your needs into a pre-existing practice group. To that end, we have combined the talents of many lawyers with different areas of expertise into one cohesive unit with a singular goal in mind: To help public and private companies providing financial services weather the storm of an ever-expanding regulatory and litigious environment and respond rapidly and forcefully to increased scrutiny by the government, its agencies and self-regulatory organizations.

The Dodd-Frank Wall Street Reform and Consumer Protection Act made many sweeping changes to the regulatory oversight of the financial services industry – including public companies and their employees. Dodd-Frank created a new independent consumer watchdog agency, the Consumer Finance Protection Bureau (CFPB), and has caused a renewed focus on the industry by the Federal Trade Commission, the U.S. Department of Justice (DOJ) and U.S. attorneys’ offices nationwide, the Securities and Exchange Commission (SEC), the Internal Revenue Service (IRS) and state attorneys general, as well as by federal and state banking regulators. Dodd-Frank oversight extends to OTC derivatives, the security-based and non-security-based swap markets, and the proprietary trading of hedge and private equity funds.


About Richards Kibbe & Orbe LLP

Richards Kibbe & Orbe LLP has long been a go-to firm in the fields of cross-border enforcement, government investigations and criminal defense.  We have a proven record of navigating difficult regulatory and criminal issues, from high profile investigations, parallel criminal and regulatory proceedings to the latest hot-button international enforcement situations.

For 25 years, RK&O has helped clients facing potential scrutiny in multiple jurisdictions and confronting severe civil, criminal and reputational penalties.  Our highly skilled team draws on the key attributes of the firm:  our renowned white-collar practice, our proficiency in regulatory counseling, our ability to seamlessly manage parallel proceedings and our vast cross-border experience.

The RK&O team understands the enforcement perspective and can foresee future challenges lurking around the corner.  We deeply understand the importance of international cooperation and the complications of regulatory exposure in multiple jurisdictions.


About Willkie Farr & Gallagher LLP

Willkie Farr & Gallagher LLP provides strategic legal representation and counsel to market-leading public and private companies worldwide. We combine core experience—in asset management, business reorganization and restructuring, M&A, private equity, corporate and securities law, intellectual property, complex litigation, regulatory compliance and real estate—with other key disciplines to deliver practical solutions for business-critical transactions and bet-the-company litigation. Willkie's Asset Management practice, with over 40 years of experience, is a leader in the fund industry, providing an extensive array of legal services to all types of funds and their managers, directors, shareholders, clients and service providers.  Our Commodities/Derivatives Group regularly advises commodity pool operators, commodity trading advisors and institutional participants on regulatory  compliance programs and exchange-traded futures and options.