The New SEC Enforcement Program

Program Number: 2048

Program Date: 06/10/2010

Description

SEC officials have repeatedly promised Congress and the public that the Commission's one-storied enforcement program would be rejuvenated. Join Tom Gorman of Porter Wright Morris & Arthur LLP and David Seide of Curtis, Mallet-Prevost, Colt & Mosle LLP, who explore those efforts. Topics include recent reorganization efforts; the implementation of DOJ practices such as cooperation; the impact of current SEC Inspector General investigations; the consequences of increasing cooperation between DOJ and the SEC; and new trends in enforcement cases, such as FCPA, Ponzi schemes, short selling cases and other areas.

$80.00Audio CD Add to Cart $80.00Online Audio Add to Cart

Available in states

Arizona, California, Colorado Eligible, Georgia, Missouri, New Jersey Eligible, New York, Texas Self Study

Credit Information

50 minute credit hour - 1 General CLE credit
60 minute credit hour - 1 General CLE credit

State Program Numbers

Presenters


Thomas O. Gorman, Esq.

Dorsey & Whitney LLP

Thomas O. Gorman, Esq. is a partner in the Washington, D.C. office of Dorsey & Whitney LLP. Mr. Gorman, whose practice involves a wide range of civil and criminal securities and business litigation matters, including conducting internal corporate investigations, defending public companies and individuals in SEC and DOJ investigations, and defending securities class action and derivative suits, is Co-chair of the ABA White Collar Crime Securities Section, and a former member of the staff of the Securities and Exchange Commission's Enforcement Division and Office of the General Counsel. He is a frequent speaker and author of articles regarding securities litigation topics and publishes a blog (www.SECActions.com), which comments on trends and current events in SEC and DOJ securities enforcement investigations and actions. Among his other honors, and those awarded for his blog, he has been selected since 2007 for inclusion in Super Lawyers in the area of securities litigation and Washington Business Journal previously recognized him as one of the five top lawyers in Washington, D.C.

 

David Z. Seide, Esq.

Curtis, Mallet-Prevost, Colt & Mosle LLP

David Z. Seide, Esq., a partner in the Litigation Group of Curtis, Mallet-Prevost, Colt & Mosle LLP, focuses on white-collar crime, and represents companies and individuals in lawsuits or under investigation by the Securities and Exchange Commission, the Department of Justice, and state and local agencies. The Co-Chair of the American Bar Association (ABA) Task Force on Best Practices for Company Counsel to Follow When Providing Upjohn Warnings to Company Employees, and the principal author of a report for the ABA recommending best practices for company counsel to follow when interviewing company employees as part of an internal investigation, he is also the Co-Chair of the ABA Securities Fraud Subcommittee, and White Collar Crime Committee. Mr. Seide spent nearly 12 years as an Assistant U.S. Attorney in Los Angeles, where he was responsible for the investigation, prosecution and trial of multiple individuals and organizations suspected of engaging in securities fraud. He has published articles in numerous publications, speaks regularly to industry and trade groups, has lectured at law and business schools, and has taught at the National Institute for Trial Advocacy.