How to Effectively Deal with SEC Investigations and Enforcement Actions in 2017

Broadcast Date: Thursday, February 02, 2017 from 12:00 pm to 2:00 pm (ET)
Kurt Wolfe
Jay A. Dubow
Scott B. McBride
Michael K. Lowman


About Allen & Overy LLP

Our New York and Washington, D.C., offices are the core of Allen & Overy’s global U.S. practice, and our attorneys handle the most complex domestic and cross-border transactions and adversarial matters for our clients. With 52% of our work involving three or more jurisdictions, we are fully integrated with our global network of 44 offices in 31 countries across Europe, Asia Pacific, South America, the Middle East and Africa. This means we can provide our clients with seamless solutions and a global reach that is unmatched by any other U.S. firm.


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 Lowenstein Sandler LLP

Lowenstein Sandler is a leading national law firm with offices in New York, California, Washington DC, New Jersey and Utah.  Recognized for the breadth and depth of its practice, its extraordinary client service and its entrepreneurial spirit, the firm provides seasoned, value-added legal advice and strategic solutions for its clients.  An AmLaw 200 firm, Lowenstein brings deep resources to its cases, but its size ensures a personal relationship with senior leadership that delivers results.  Lowenstein Sandler prides itself on being a different kind of law firm – one deeply rooted in the interests of its clients, colleagues and communities.


About Jenner & Block

Founded in 1914, Jenner & Block is a law firm of international reach with more than 500 lawyers.  Our firm has been widely recognized for producing outstanding results in corporate transactions and securing significant litigation victories from the trial level through the United States Supreme Court.  Companies and individuals around the world trust Jenner & Block with their most sensitive and consequential matters.

We have a robust enforcement practice based on our deep bench of former government lawyers.  We regularly represent clients in SEC and other investigations alleging financial fraud, accounting irregularities, disclosure and internal control deficiencies, insider trading, Ponzi schemes, foreign corrupt practices, and other misconduct.  We also conduct internal investigations.