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