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Legal Issues in SEC and State Securities Actions CLE

October 25, 2021
Downtown Denver with caution traffic lights

Paul Vorndran and Blaine Bengtson dig into SEC and State securities defense matters to highlight where mistakes can happen and how minimize the risk in CLE on-demand at LawPracticeCLE.

When the SEC and State Securities Commissioners pursue enforcement, an alleged violation under scrutiny can often snowball from a stand-alone issue to broader related administrative proceedings and civil suits.

Know which way enforcement action could turn, and what else could be uncovered, to avoid making mistakes in this session with securities and enforcement defense litigators Paul Vorndran and Blaine Bengtson.

Principles

  • Explore current enforcement priorities and trends
  • Understand how to respond to enforcement requests and notices
  • Common fishing efforts and add-on charges
  • Considerations regarding exposure

Syllabus

  1. Explore current enforcement priorities and trends
      • SEC enforcement priorities
      • State enforcement priorities
  2. Responding to investigations and enforcement requests
      • Understanding what’s written in a notice, and what’s implied
      • How to respond to investigations and enforcement requests
      • Common add-on legal matters
      • Considerations regarding exposure
      • Tips and strategies
  3. Licensing and Registration Issues
      • Recognize licensing issues that can snowball
      • Distinguish SEC registration and state licensing matters for enforcement
      • Exploring customer disputes leading to potential problems

Instructors

Paul Vorndran, Esq.

Blaine Bengtson, Esq.,