Topics to be discussed include:
- Due Process: Even Regulators Must Comply
- Moderator
Thomas P. Krebs, Partner, Securities Enforcement & Litigation Practice, Foley
- Panelists
Patricia L. Levy, General Counsel, DRW Trading Group
Stephen P. Bedell, Partner, Securities Enforcement & Litigation Practice, Foley
David J. Barclay, General Counsel & Vice President, Equitec Group
- “Layering On” Issues: When Regulators Lay It on Too Thick
- Moderator
Ellen Wheeler, Partner, Securities Enforcement & Litigation Practice, Foley
- Panelists
Kathryn M. Trkla, Partner, Securities Enforcement & Litigation Practice, Foley
Melissa Andrews, General Counsel, R.J. O’Brien & Associates, LLC
Julie Dematteo, Managing Director, R.J. O’Brien & Associates, LLC
- Adversarial Minefields
- Moderator
Thomas P. Krebs, Partner, Securities Enforcement & Litigation Practice, Foley & Lardner LLP
- Panelists
Stephen P. Bedell, Partner, Securities Enforcement & Litigation Practice, Foley
Maureen C. Guilfoile, Managing Director and General Counsel, ABN AMRO Clearing Chicago LLC
Patricia Donahue, Chief Compliance Officer & Associate General Counsel, Rosenthal Collins
There is no cost to participate in this program, but pre-registration is required. Please contact John Vicars at jvicars@foley.com for more information.
Foley & Lardner LLP will apply for CLE credit after the program, wherever applicable. Foley & Lardner LLP certifies that this activity has been approved for California MCLE credits by the State Bar of California in the amount of three General credits. Foley & Lardner LLP is a State Bar of California MCLE approved provider. Please note that participants must be in attendance on the date of the event; credit may not be obtained by viewing and/or listening to a program recording after the event.