NYCLA Live CLE Webinar: How To Handle a Securities Regulatory Investigation - Wednesday, June 14, 2023

How you handle a securities regulatory investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. It is also important to understand your ethical obligations before, during, and after an investigation, as representation lines may become blurred. Register today for this upcoming CLE webinar from the New York County Lawyers Association (NYCLA) Securities & Exchanges Committee.

Our panel of experienced practitioners will discuss:

• the various stages of a securities regulatory investigation
• the initial contact
• demand for documents
• gathering and distilling data
• on the record interviews (OTRs)
• how to avoid full-blown enforcement actions
• how to protect your client’s public CRD, and
• ethical considerations to avoid conflicts of interest and rule violations

Date: June 14, 2023

Time: 12:30 p.m. ET

CLE credit: 1.5 NY Credits: 1 Skills; 0.5 Ethics; Transitional and Non-transitional; 1.5 NJ Credits: 1.5 General

Webinar Details and Registration

Faculty:

• Susan Schroeder, Esq., Partner, Vice Chair, Securities & Financial Services Department, WilmerHale (former Head of FINRA Enforcement)
• Ronald Minkoff, Esq., Partner, Frankfurt Kurnit & Selz
• Robert Herskovits, Esq., Managing Member, Herskovitts PLLC
• Alex Russell, Managing Director, White Collar, Regulatory and Internal Investigations, Bates Group LLC

Program Chairs and Moderators:

Susan L. Harper, Esq., Managing Director, Bates Group LLC, Co-Chair, NYCLA’s Securities & Exchanges Committee and Benjamin F. Jackson, Esq., Associate, Cohen Milstein, Co-Chair, NYCLA’s Securities & Exchanges Committee