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