Adam Warren to Speak on a Financial Services & Securities Litigation Panel

Location 311 S. Wacker Drive,, Suite 4200

Chicago 60606

Calendar October 17, 2017

8:00 a.m. - 1:30 p.m. (CST)

Ulmer & Berne LLP
500 West Madison Street, Washington Conference Room, 3rd Floor
Chicago, IL 60661

Duff & Phelps is co-sponsoring the Financial Services and Securities Litigation Hot Topics Seminar with Ulmer & Berne LLP. Managing Director, Adam Warren, will be a panelist on the "Hot Button Issues in SEC Enforcement" session, which starts at 11:05 a.m. This session will cover:

  • A review of the past SEC enforcement year (e.g., notable statistics and areas of emphasis)
  • Navigating the enforcement process (e.g., white papers, whistleblowers, admissions and proffers, large data productions)
  • Recent court decisions
  • Achieving the best case results from respondent’s and SEC staff perspective

Agenda

8:00 a.m.  Registration and Breakfast 
8:15 a.m. Welcome 
8:20 a.m.  What Keeps FINRA Lawyers Up at Night 
9:05 a.m.  Financial Litigation Reform in the Age of Trump
10:05 a.m.  Break 
10:20 a.m.  Trying a Complez, Protracted FINRA Arbitration
11:05 am.  Hot Button Issues in SEC Enforcement 
12:05 p.m.  Lunch

CLE Credits may also apply.

To request more information about this event, please contact events@duffandphelps.com.


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