Techniques and Strategies for Defending and Settling

Broker/Dealer Enforcement Actions

Monday, October 24, 2005

About

The enforcement net has widened and penalties are on the rise ... Are you prepared to ensure that your client receives a fair hearing in this new environment?

Given the recent enforcement actions relating to market timing, prospectus delivery and revenue sharing practices, and the blitz of self-assessments and sweeps, you have your work cut out for you. Are you armed with the latest knowledge to protect your clients during the new wave of broker-dealer enforcement actions?

The American Conference Institute's Techniques and Strategies for Defending and Settling Broker-Dealer Enforcement Actions publication provides you with the information you need to manage enforcement investigations, proceedings and disciplinary actions at every stage. This year's faculty included seasoned regulators and experienced broker-dealer enforcement attorneys who provided invaluable perspectives regarding the following issues, including:
  • Responding to NASD & NYSE self-assessments and sweeps: what does the "failure to cooperate" mean?
  • Practical strategies for handling an SEC action at each stage, including informal investigations, Wells Notices and administrative proceedings
  • E-mail and document retention and recovery: how to quickly respond to a delivery request
  • When to settle and when not to settle SRO investigations

Contents & Contributors

About

The enforcement net has widened and penalties are on the rise ... Are you prepared to ensure that your client receives a fair hearing in this new environment?

Given the recent enforcement actions relating to market timing, prospectus delivery and revenue sharing practices, and the blitz of self-assessments and sweeps, you have your work cut out for you. Are you armed with the latest knowledge to protect your clients during the new wave of broker-dealer enforcement actions?

The American Conference Institute's Techniques and Strategies for Defending and Settling Broker-Dealer Enforcement Actions publication provides you with the information you need to manage enforcement investigations, proceedings and disciplinary actions at every stage. This year's faculty included seasoned regulators and experienced broker-dealer enforcement attorneys who provided invaluable perspectives regarding the following issues, including:
  • Responding to NASD & NYSE self-assessments and sweeps: what does the "failure to cooperate" mean?
  • Practical strategies for handling an SEC action at each stage, including informal investigations, Wells Notices and administrative proceedings
  • E-mail and document retention and recovery: how to quickly respond to a delivery request
  • When to settle and when not to settle SRO investigations

Contents & Contributors


RECENT SEC ENFORCEMENT CASES
Alexander M. Vasilescu, U.S. Securities and Exchange Commission
Bruce Karpati, U.S. Securities and Exchange Commission

THE BRAVE NEW WORLD OF RISK ASSESSMENT AND COOPERATION: HOW TO RESPOND TO SELF-ASSESSMENTS AND SWEEPS
Roger Sherman, NASD

WHEN THE SEC CALLS - ISSUES FOR INSIDE COUNSEL
Ronald C. Long, Wachovia Securities

INVOCATION OF THE ACT PRODUCTION PRIVILEGE IN SEC INVESTIGATIONS
Jeffrey Plotkin, Pitney Hardin LLP
Lorraine Bellard, Pitney Hardin LLP

MANAGING E-MAIL: RETENTION, PRODUCTION AND SUPERVISION
Linda Riefberg, New York Stock Exchange
Joseph Okpaku, NYSE Division of Enforcement

WHEN A BROKER GOES BAD: DOES THE BUCK REALLY STOP?
Ernest E. Badway, Saiber Schlesinger Satz & Goldstein LLC

NASD AND NYSE INVESTIGATIONS FROM START TO "WELLS" TYPE NOTICES: WORKING WITH REGULATORS IN YOUR CLIENT'S BEST INTEREST
Susan Light, NYSE Division of Enforcement
Bill Singer, Gusrae, Kaplan, Bruno & Nussbaum PLLC
Michael Solomon, UBS Financial Services, Inc.
Ben Indek, Morgan, Lewis & Bockius LLP

PROTECTING YOUR CLIENT DURING NASD AND NYSE FORMAL CHARGES AND DISCIPLINARY HEARINGS
Steven Brostoff, Enforcement Division, New York Stock Exchange
Richard Gelb, Gelb & Gelb, LLP
Robert Giacovas, Lazare Potter Giacvoas & Kranjac LLP
Brian L. Rubin, Sutherland Asbill & Brennan LLP
Philip Rothman, Morgan Stanley

STATE INITIATIVES AND ENFORCEMENT ACTIONS REGARDING BROKER-DEALER PRACTICES
Patricia Struck, Wisconsin Department of Financial Institutions
Joseph Borg, Alabama Securities Commission
Jim Ropp, Department of Justice, Delaware Division of Securities
Andrew Kandel, Merrill Lynch & Co., Inc.

TECHNIQUES AND STRATEGIES FOR DEFENDING AND SETTLING BROKER-DEALER ENFORCEMENT ACTIONS
Charles A. Ross, Herrick, Feinstein LLP



DOCUMENT TYPES: PRESENTATIONS AVAILABLE: 0