Register

Agenda

Securities and Enforcement Defense Litigator Paul Vorndran shares what regulators are looking for at the federal and state levels, practices being targeted, and strategies for defending investigations and enforcement actions. Paul Vorndran has 25 years of experience handling securities investigations, first as an attorney in the Colorado Securities Commissioner’s Office and now as a shareholder at Jones & Keller P.C.

Key topics to be discussed:

• Flash points in SEC and state enforcement actions
• Strategies for responding to SEC and state inquiries and investigations
• Anticipating common issues
• Understanding when to disclose an investigation

ABOUT THE PRESENTER

Paul Vorndran has been a Colorado trial attorney for 30 years in securities litigation and enforcement defense. Paul defends individuals and entities in investigations and enforcement actions brought by the SEC, FINRA and state securities commissioners. He has extensive experience in the areas of investment, securities, and insurance regulation and litigation. During his six years with the Colorado Attorney General, Paul represented the Colorado Securities and Insurance Commissioners and brought enforcement actions against both promoters and non-securities licensed, independent insurance agents. Now he works the other side, advising and defending individuals and businesses, including registered investment advisers, investment adviser representatives, broker-dealers, securities sales representatives, and insurance producers in both regulatory matters and customer disputes. Reach out to Paul at pvorndran@joneskeller.com.