Individual Liability for Securities Fraud and Retaliation in the Banking Industry

Price: $224 OnDemand

Adam A. Carter
Principal, The Employment Law Group, PC


Whistleblowers have a crucial role and making companies comply with regulations and remain accountable to the consumer and public taxpayer. Leading many to ponder the importance this has in relation to individual liability of securities fraud and retaliation in the banking industry. 

This program is designed to identify the obligations of those in the banking field when some kind of securities or banking violation including mortgage fraud has occurred, reporting obligations pertaining to professional licensure or ethical code, and obligations banks have to investigate and remediate a conduct. 

This program also is structured to address reporting requirements not covered by licensing or ethical scheme and the anti-retaliation protections a banker has under the False Claims Act.

Educational Objectives:
• Analyze best practices for reporting obligations
• Explore examples to reference for standard procedures
• Discuss resources to consider during such circumstances discussed in the webinar


Who would benefit most from attending this program?
Banking attorneys, and in-house counsel at banks and risk and compliance officers at banks. 



Adam A. Carter is a principal at The Employment Law Group, PC. He is a seasoned courtroom attorney having won cases at trial and on appeal. He focuses his practice on the representation of employees and whistleblowers, as he has for most of his 24-year career as a Washington, DC-based litigator. He has been praised by clients, counsel and courts alike for his effective advocacy and his tremendous problem solving abilities. Adam is experienced representing employees who bring claims against their employers involving wrongful termination, retaliation, contract disputes, employment discrimination, Sarbanes-Oxley, age, race, religious, ethnic, disability or sex discrimination, for violations of USERRA, FMLA, and for violations of other federal and/or state civil rights laws. Adam has experience defending individuals in white collar criminal cases and investigations and represents whistle-blowers and witnesses in cases brought under the False Claims Act. He represents relators in bringing their claims to the attention of Government investigators under seal and in helping them keep their jobs after they are suspected of investigating fraud. He has advised executives on contractual matters, during compensation and benefit negotiations, and regarding both termination and non-competition restrictions. Adam specializes in dealing with the complex problems that arise when a family business or a closely held corporation is coming together or splitting apart. He is a member of the District of Columbia, Maryland and Virginia bars.