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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 [email protected].
Featured Case Studies
Fairness Opinion
Duff & Phelps Advised Front Yard Residential Corporation on the Renegotiation of its Asset Management Agreement with AAMC
has renegotiated its external management agreement with
Duff & Phelps Advised the Owners of a Skilled-Nursing Portfolio on a $378 Million Sale/Leaseback Transaction
has completed a $378 million real property sale/leaseback transaction with a privately-held group of real property holding companies for skilled-nursing facilities.