Please join us for a two-part panel discussion Litigating with the Regulators: FINRA and the SEC. Although resolving securities regulatory investigations amicably is often the preferred outcome, as regulators become increasingly aggressive, knowing how to litigate with them is an option you cannot afford to ignore. Our goal is for you to walk away with pragmatic insights into the process.
The first of this two-part series will focus on litigating with FINRA and will feature Sidley FINRA alumni who will share their personal knowledge, strategy and tactics. The second part of the series, to be scheduled for Fall 2015, will focus on litigating with the SEC.
Key discussion points of our first session will include:
- What are the ground rules of litigation with FINRA?
- What are the costs-benefits of litigating with FINRA?
- How is the hearing panel chosen, who are they, how do they approach cases?
- What are the chances of an appeal to NAC (National Adjudicatory Council) if you get an adverse decision?
- What happens if the Staff gets an adverse decision and appeals?
- Susan Merrill, Former Enforcement Chief at NYSE, Head of Enforcement at FINRA
- Tim Nagy, Former Counsel, Department of Market Regulation at FINRA
- Gerald Russello, Former Division branch chief for the Enforcement Division of the Securities and Exchange Commission in New York
- Paul Tyrrell, Former Senior special regional counsel at FINRA’s Boston District Office
- Michael D. Wolk, Former Vice President, Chief Counsel, Department of Market Regulation, NASD (n/k/a FINRA), former Branch Chief, Division of Enforcement, SEC
Sidley Austin LLP is an Approved Accredited Provider of CA, IL and NY CLE credit. CLE credit is pending for this program.