On-Demand Video
CC

Navigating SEC Investigations & Parallel Criminal Prosecutions

  • City:
  • Start Date:2023-04-17 20:00:00
  • End Date:2025-04-17 20:00:00
  • Length:
  • Level:Intermediate
  • Topics:Securities

$249.00 ProPass

[{"jurisdiction":"Supreme Court of Delaware Commission on Continuing Legal Education","status":"Self Apply","state":"Delaware","credits":"","expiration_date":"April 17, 2024","speciality_credit":[{"category":"General","state_category":"General","credit":"2.0"},{"category":"Ethics and Professional Responsibility","state_category":"Enhanced Ethics","credit":"1.0"}]},{"jurisdiction":"Virginia State Bar","status":"Self Apply","state":"Virginia","credits":"","expiration_date":"October 31, 2023","speciality_credit":[{"category":"Ethics and Professional Responsibility","state_category":"Legal Ethics and Professionalism","credit":"1.0"},{"category":"General","state_category":"General","credit":"2.0"}]},{"jurisdiction":"Supreme Court of New Jersey Board on Continuing Legal Education","status":"Reciprocity ","state":"New Jersey","credits":"","expiration_date":"April 17, 2026","speciality_credit":[{"category":"Ethics and Professional Responsibility","state_category":"Ethics and Professionalism","credit":"1.2"},{"category":"General","state_category":"General","credit":"2.4"}]},{"jurisdiction":"The Florida Bar","status":"Self Apply","state":"Florida","credits":"","expiration_date":"October 17, 2024","speciality_credit":[{"category":"Ethics and Professional Responsibility","state_category":"Ethics","credit":"1.0"},{"category":"General","state_category":"General","credit":"2.5"}]},{"jurisdiction":"New York CLE Board","status":"Approved","state":"New York","credits":"","expiration_date":"April 17, 2026","speciality_credit":[{"category":"General","state_category":"Areas of Professional Practice","credit":"2.0"},{"category":"Ethics and Professional Responsibility","state_category":"Ethics and Professionalism","credit":"1.0"}]},{"jurisdiction":"Supreme Court of Ohio","status":"Credit not available","state":"Ohio","credits":"","expiration_date":"December 31, 2023","speciality_credit":[{"category":"Ethics and Professional Responsibility","state_category":"Attorney Professional Conduct","credit":"0.0"},{"category":"General","state_category":"General","credit":"0.0"}]},{"jurisdiction":"West Virginia State Bar Continuing Legal Education Commission","status":"Credit not available","state":"West Virginia","credits":"","expiration_date":"April 17, 2026","speciality_credit":[{"category":"General","state_category":"General","credit":"0.0"},{"category":"Ethics and Professional Responsibility","state_category":"Ethics","credit":"0.0"}]},{"jurisdiction":"Pennsylvania Continuing Legal Education Board","status":"Approved","state":"Pennsylvania","credits":"","expiration_date":"April 17, 2025","speciality_credit":[{"category":"General","state_category":"General","credit":"2.0"},{"category":"Ethics and Professional Responsibility","state_category":"Ethics","credit":"1.0"}]}]
Credit States Status Credits Earn credit until
Add to cart

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 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

Recorded in April 2023.

Need help navigating your CLE requirements?

You have a lot on your plate. We’ll help you stay on top of your compliance — in PA and beyond.

learn more

Meet The Faculty