Remedies in SEC Enforcement Actions: Survey and Current Issues


DC Bar Conf Ctr
1101 K. Street, NW
Washington , DC 20005
United States
38° 54' 9.1404" N, 77° 1' 37.4016" W
Mon, 2012-06-11

Gregory Burch, Willkie Farr & Gallagher LLP

6-9:15 pm
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member $99 nonmember $129
3 hrs


This course is designed to help practitioners understand the wide range of legal and equitable remedies available in SEC enforcement actions. Participants will learn about traditional injunctive remedies, including ancillary relief such as special masters, compliance consultants, undertakings, and asset freezes. In addition, the faculty will discuss considerations taken into account for assessing disgorgement and civil penalties, and when officer and director bars may be sought. The discussion will look into administrative remedies, including the interplay of cease-and-desist proceedings and section 15(b) (6) proceedings against licensed professionals. The class will help attendees avoid common misconceptions about the SEC’s remedial powers and enable practitioners to prepare clients for the endgame of settlement negotiations or litigation.


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