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Policing the Markets: Key Issues in SEC Enforcement


Product Code - LGN80
Speaker(s): Frank C. Razzano, Pepper Hamilton LLP; Thomas O. Gorman, Dorsey & Whitney LLP; Marvin G. Pickholz, Duane Morris LLP; Jacob S. Frenkel, Shulman Rogers Gandal Pordy & Ecker, P.A.
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The faculty for this program will analyze current trends in Securities and Exchange Commission (SEC) enforcement with a view to the overall direction of the Commission’s enforcement program by exploring recent litigation.

What can be learned from SEC v. Welliver about producing documents while preserving privilege? What do you need to know about the statute of limitations after the Barteck case? Attend this program to find out as well as learn about the status of aiding and abetting in the wake of Apuzzo; shifting standards of insider trading liability following Obus; and the status of the SEC’s trial program after the loss in Stoker.

The faculty will also discuss standards for settlement with the SEC, with references to SEC v. Citigroup, and how to make the markets fair in light of the New York Stock Exchange case.

Educational Objectives:

• Learn about the current requirements for complying with SEC regulations.
• Understand the implications of recent seminal litigation.
• Find out how to advise your business clients to remain compliant.

Who would benefit from attending the program?

The focus of this program is in-house counsel trying to stay a step ahead of SEC enforcement and experienced practitioners.

Program Level: Advanced

Credit Available: CLE. For more information, please click on the “CLE Credit” tab.

Frank C. Razzano, Pepper Hamilton LLP; Thomas O. Gorman, Dorsey & Whitney LLP; Marvin G. Pickholz, Duane Morris LLP; Jacob S. Frenkel, Shulman Rogers Gandal Pordy & Ecker, P.A.

Frank C. Razzano, Pepper Hamilton LLP
Frank C. Razzano is a partner in the Washington office of Pepper Hamilton LLP. Mr. Razzano has 41 years of civil and criminal jury trial experience, concentrating in securities litigation, broker-dealer regulation, SEC enforcement and white-collar criminal defense.

Mr. Razzano has served as an Assistant U.S. Attorney for the District of New Jersey, where he handled political corruption cases and cases involving corporate criminal liability which were precursors to the enactment of the FCPA. He also served as Assistant Chief Trial Attorney at the U.S. Securities and Exchange Commission, where he tried “cooked books” and “pump and dump” cases.

Mr. Razzano also serves as an adjunct professor of law at the University of Maryland Law School (1996-present), where he has taught business crimes, federal securities fraud litigation, international criminal law, regulation of securities markets, and evidence. He earned a B.A., magna cum laude, Phi Beta Kappa, from St. Louis University and a J.D. from Georgetown University Law Center, where he was an editor of the Georgetown Law Journal.

Thomas O. Gorman, Partner, Dorsey & Whitney LLP
Thomas O. Gorman is a partner with Dorsey & Whitney LLP and practices in the firm’s Washington, D.C. office. Mr. Gorman’s practice focuses on defending SEC and DOJ securities investigations and enforcement actions as well as the defense of securities damage actions, complex business litigation and conducting internal corporate investigations. He has defended public companies and individuals in SEC and DOJ securities investigations involving matters which include insider trading, financial fraud, corporate governance matters, accounting and auditing issues, and similar matters.

Mr. Gorman has also defended securities class action and derivative suits and led teams conducting internal investigations focused on financial fraud and other securities law issues. He regularly publishes articles on securities litigation issues including the FCPA, internal investigations, financial fraud and insider trading. In addition he frequently publishes a widely read securities blog, www.secactions.com, which discusses trends in securities enforcement inquiries and litigation, provides expert commentary for the LEXIS Securities web page and serves as a member of the editorial board of Securities Law 360, a leading securities industry publication.

Mr. Gorman earned an LL.M. with a concentration in Securities and Antitrust from Georgetown University Law Center; a J.D. cum laude from Cleveland-Marshall College of Law, where he served as Editor, Cleveland St. U. Law Review and was a Moot Court Team Member; and an A.B. in Literature from John Carroll University.

Marvin G. Pickholz, Duane Morris LLP
Marvin G. Pickholz is a partner in Duane Morris' securities and white-collar practice groups. His practice focuses on complex civil, criminal and administrative litigation, related governmental investigations, including defense of corporations and individual clients, both domestic and foreign, and he has represented clients in various arbitration forums.

Mr. Pickholz is a former national Assistant Director of the Securities and Exchange Commission’s Division of Enforcement in Washington, D.C. and Chief of the Branch of Enforcement in New York. During his tenure with the SEC, Mr. Pickholz was involved in many high-profile cases involving accounting firms, corporate financial statement fraud, Foreign Corrupt Practices Act and individual defendants of renown.

Mr. Pickholz is the author of the treatise titled Securities Crimes and is the co-author of chapters in leading treatises on accountants' liability, insider trading and section 16(b) liabilities. He has authored over 50 articles and is a frequent guest on CNBC, NBC, Fox News, and the BBC and quoted in domestic and foreign financial publications. He was the founder and first president and currently serves as a director of the Association of Securities and Exchange Commission Alumni.

Mr. Pickholz earned an LL.M. and an LL.B. from New York University School of Law and an A.B. from New York University.

This program is CLE-credit eligible.

If you have further questions regarding a specific state or how to file for CLE credit, please contact Bloomberg BNA customer service at 800-372-1033 and ask to speak to the Legal and Business CLE Accreditation Coordinator.

Hardship Policy
Bloomberg BNA offers a hardship policy for attorneys earning less than $50,000 per year. If an attorney wishes to take advantage of this option, he or she must contact Bloomberg BNA directly. For attorneys who are unemployed or earning less than $35,000 per year, a full discount off the price of the program will be awarded upon written proof of hardship. Attorneys earning between $35,000 and $50,000 per year will receive a 50% discount off the price of the program. Any attorney working in the public service sector also qualifies for a special price. If you have further questions regarding the hardship policy or seek additional information, please contact Bloomberg BNA customer service at 800-372-1033 and ask to speak to Lindsey Pace, CLE Accreditations Coordinator, or email us at accreditations@bna.com.

Questions
For more information about Mandatory or Minimum Continuing Legal Education (MCLE) requirements, visit the American Bar Association website at http://www.abanet.org/cle/mandatory.html.