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Securities Enforcement: Important Recent Developments

The program will focus on recent developments in securities enforcement.

Meet the top government securities enforcement officials in Southern California from the SEC, the U.S. Attorney's Office, and FINRA who will discuss the latest issues relating to:

  • New Enforcement Officers, programs and initiatives from Washington including: New Enforcement Units and Task Force (Cyber Unit and Retail Fraud Task Force)


  • Latest cases in areas of insider trading, Foreign Corrupt Practices Act, private offerings; boiler rooms, gatekeeper casesincluding against attorneys.


  • Whistleblower Rules and activity


  • Public finance fraud


  • FINRA's new get tough policy: Too little, too late or overkill?


  • SEC Investigations: the latest on the SEC's new no admit or deny policy; cooperation initiatives; and will SEC really compromise, etc.


  • Cryptocurrency-related investment fraud schemes


  • The Department of Justice perspective:


    • DOJ's review of the Yates Memo (individual accountability initiative) and what that could mean for corporate cooperation credit,


    • Is every securities violation a criminal case?


Richard Robinson, Senior Litigation Counsel, Major Frauds Section, US Attorney's Office, Central District of CA
Michele Wein Layne, Regional Director, SEC Los Angeles Regional Office
David A. Greene, District Director, FINRA
Robert C. Rosen, Rosen & Associates P.C

Omni Hotel
251 S. Olive Street
Los Angeles. CA 90012

CLE Credit: 1.5 hr. CLE General 

Valet Parking available for $15

Registration/Lunch: 11:30 a.m.
Program: 12:15 - 1:30 p.m.
Additional Information: This program is appropriate for all levels.


CLE+ Members


Business and Corporations Law Section and Litigation Section Members


LACBA Members


All Others


Law Student


 SEC Attorneys, DOJ, DBO, and FINRA $105.00

*CLE+ Members can purchase the meal below for an additional $65.00

6/22/2018 12:15 PM - 1:30 PM
Omni Los Angeles Hotel at California Plaza 251 S Olive Street Los Angeles 90017
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Advance registration (both online and via phone) closes for most programs approximately 12-24 hours before event time (in order to allow for operational considerations), we would still like to have you join us, and you are more than welcome to register on-site and attend, unless the program is specifically noted as SOLD OUT. Full refunds issued only for registrations which are cancelled 48 hours in advance.

The LACBA online event registration system supports registration for individual event participants 24 hours a day, seven days a week. For assistance with group/multiple registrations, or if you’d simply prefer to register by phone (with Visa, MasterCard or American Express), please call LACBA’s Member Services Department at (213) 896-6560 any time from 9:00 a.m. to 4:30 p.m. Monday through Friday. If you have questions about programs or program registration, you’re also welcome to contact Member Services by e-mail at: msd@lacba.org

The Los Angeles County Bar Association is a State Bar of California MCLE approved provider. If this is a CLE event, the Los Angeles County Bar Association certifies that this activity has been approved for MCLE credit. CLE events will state the amount and type of credit offered in the calendar listing.