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Across the Table from the SEC: Defending and Handling SEC Investigations

Event | April 2, 2009

Partners Gary N. Distell, Anthony L. Paccione, Gil M. Soffer, Joel W. Sternman and Meryl E. Wiener will present the second SEC-related seminar, this time covering the negotiation phase with the SEC.

The topics to be discussed include:  

  • Enforcement direction  
  • SEC’s perspective: What triggers an enforcement subpoena?
  • The formal order: What the SEC can do. What you can do.  
  • Tactical considerations in testifying  
  • The Wells process: Settle or litigate? 
  • The role of FINRA
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