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Navigating Parallel Proceedings: SEC, Criminal and Private Civil Litigation Challenges 2024


  • City:
  • Start Date:2024-07-10 13:00:00
  • End Date:2024-07-10 16:15:00
  • Length:195
  • Level:Intermediate
  • Topics:Securities

$249.00 ["ProPass"]

This program is eligible for 3 hours of CLE credit, including 1 hour of ethics, in 60-minute states. In 50-minute states, this program is eligible for 3.6 hours of CLE credit, including 1.2 ethics. Credit hours are estimated and are subject to each state’s approval and credit rounding rules.

Overview

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 Securities and Exchange Commission’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 perils and pitfalls of cases with potential for parallel proceedings.  Learn how to spot and manage a case with the capacity to go criminal (DOJ), civil enforcement (SEC) and civil (private litigation).  

  • What to do when the Government comes knocking
  • Special strategic considerations in cases with parallel possibilities
  • To testify or not testify: That is the question
  • Stays of civil proceedings

Faculty

Aaron Tang

Aaron Tang is a law
professor at the University of California, Davis and former law clerk to
Justice Sonia Sotomayor. He has written about the Supreme Court and
constitutional law for popular audiences in The New York Times, Washington
Post, Los Angeles Times, Slate, and The Atlantic. His research paper, After
Dobbs: History, Tradition, and the Uncertain Future of a Nationwide Abortion
Ban, is forthcoming in the Stanford Law Review, and his new book, Maybe in
Error, But Never in Doubt: How Overconfidence Broke the Supreme Court–And
How We Can Fix It, will be out this summer from Yale University
Press.

Abraham Gafni

Judge Gafni was a
Professor of Law (now Emeritus) at Villanova University Charles
Widger School of Law from 1994 until 2020. He had been a
member of the Court of Common Pleas of Philadelphia County from 1977 until
1994. Prior to his leaving the bench, he had been an adjunct professor of law
at both the Temple Beasley and Villanova law schools for many
years. In addition, he served as the Deputy District Attorney for
Law in Philadelphia County, as an appellate law clerk, in private practice
and as an attorney for the U.S. Securities and Exchange Commission. He is a
past Chair of the Alternative Dispute Resolution and the Professionalism
Committees of the PBI. He also served as the President of the Arbitration
Tribunal of the International Commission on Holocaust Era Insurance Claims.
Judge Gafni has remained active in the ADR field and continues to lecture and
author articles both related and unrelated to it.


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