• Simulcast
  • Webcast

Navigating SEC Investigations & Parallel Criminal Prosecutions

Choose option(s) from grid below and click "Register".

Registration Options

Make your selection and click the Register button above.
TypeTitleStartEndCLEPrice
In-Person - Allentown
Bar Association of Lehigh County
1114 Walnut Street, Allentown PA, 18102
STARTTue., Apr. 18, 2023
1:00 PM
ENDTue., Apr. 18, 2023
4:15 PM
CLE 2 sub/1 eth PRICE Regular: $249.00
New Attorney: $125.00
In-Person - Bellefonte
Centre County Bar Association
Eugene Lederer Bar Center, 192 Match Factory Place, Bellefonte PA, 16823
STARTTue., Apr. 18, 2023
1:00 PM
ENDTue., Apr. 18, 2023
4:15 PM
CLE 2 sub/1 eth PRICE Regular: $249.00
New Attorney: $125.00
In-Person - Lancaster
Lancaster County Bar Association
28 East Orange Street, Lancaster PA, 17602
STARTTue., Apr. 18, 2023
1:00 PM
ENDTue., Apr. 18, 2023
4:15 PM
CLE 2 sub/1 eth PRICE Regular: $249.00
New Attorney: $125.00
In-Person - Media
Delaware County Bar Association
335 W Front St, Media PA, 19063
STARTTue., Apr. 18, 2023
1:00 PM
ENDTue., Apr. 18, 2023
4:15 PM
CLE 2 sub/1 eth PRICE Regular: $249.00
New Attorney: $125.00
In-Person - West Chester
Chester County Bar Association
15 W Gay Street, 2nd Floor, West Chester PA, 19380
STARTTue., Apr. 18, 2023
1:00 PM
ENDTue., Apr. 18, 2023
4:15 PM
CLE 2 sub/1 eth PRICE Regular: $249.00
New Attorney: $125.00
Remote - Live Webcast

STARTTue., Apr. 18, 2023
1:00 PM
ENDTue., Apr. 18, 2023
4:15 PM
CLE 2 sub/1 eth PRICE Regular: $249.00
New Attorney: $125.00
Subscribers Pay: $0.00

About

Each year, the U.S. Securities and Exchange Commission (SEC) brings hundreds of civil and administrative enforcement actions against individuals and companies for violations of the nation’s securities laws

As our capital markets continue to experience unprecedented growth and expansion, the SEC’s enforcement program must regularly monitor the financial markets, the internet, company filings, and news stories for information indicating that a violation of the federal securities laws may have occurred. 

Some scrutinized conduct is of a significant enough magnitude that overlapping jurisdictions become involved and parallel investigations are initiated. 

The ever-broadening landscape of local, state, federal, and international laws and regulations that govern business entities and individuals alike make the risk of parallel investigations ever-present. 

Competently navigating the investigative process from the beginning is imperative. 

Join PBI and a panel of experts as they discuss the practice and pitfalls of navigating SEC investigations and criminal proceedings.

SEC Investigations & Proceedings 

  • SEC power to Investigate
  • Document Production Issues
  • Testimonial Issues
  • The Wells Process
  • The Supreme Court’s Upcoming Decision on Legality of ALJ Process

Criminal Proceedings and the DOJ

  • The Grand Jury stage
  • The Charging Stage
  • Brady & Jencks Considerations
  • Pleas & Trials

Intersection of SEC and DOJ Proceedings – Parallel Proceedings

5th Amendment Issues 

  • The Applicable Law of Invocation and Waiver
  • Individual vs Corporation
  • Documents vs Testimony
  • The Adverse Inference

Related Ethical Issues

All attendees will receive the course book as a digital download. A printed copy of the course book is available, at a discount to attendees, for $40. Additional copies are available at full price. If you wish to purchase the printed version of the course book, please call PBI Customer Service at 800-932-4637. Please allow up to two weeks after the program for the printed versions of the course book to be shipped.

Practice Areas

Faculty

NameFirm/Company
Jay A. Dubow Esq. Troutman Pepper Hamilton Sanders LLP (Phila)
Kelly L. Gibson Esq. Morgan, Lewis & Bockius LLP (Phila)
Nicholas P. Grippo Esq. US Securities & Exchange Commission (Phila)
Mary P. Hansen Esq. Duane Morris LLP (Phila)
Richard A. Levan Esq. Levan Legal LLC
Catherine M. Recker Esq. Welsh & Recker
Michael J. Rinaldi Esq. Duane Morris LLP (Phila)
Faculty may vary by location.
PBI reserves the right to substitute speakers at all programs.
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