Transaction and business attorneys commonly see securities issues come up in matters related to transactions and raising capital. When those issues come in the form of a letter or subpoena from the SEC, keeping requests in perspective, anticipating risk, and knowing how to proceed can be tricky. Paul Vorndran, a securities litigation and enforcement defense attorney at Jones & Keller, P.C. in Denver, addresses the common securities issues transaction and business attorneys run into with the goal of navigating those issues and guiding clients to best outcomes. Geared toward non-securities lawyers, this session includes assessing the level of involvement in the investigation, whether and how to cooperate, and knowing when to bring in an expert.
Key topics to be discussed:
Regulatory hot spots in SEC and state enforcement actions
Common securities issues in transactions and business matters
Strategies for responding to SEC and state inquiries and investigations
Anticipating common issues
When to disclose an investigation
Date: November 30, 2022
Paul L. Vorndran | Jones & Keller, P.C.
Paul Vorndran has been a Colorado trial attorney for 30 years in securities litigation and enforcement defense. Paul defends individuals and entities in investigations and enforcement actions brought by the SEC, FINRA and state securities commissioners. He has extensive experience in the areas of investment, securities, and insurance regulation and litigation. During his six years with the Colorado Attorney General, Paul represented the Colorado Securities and Insurance Commissioners and brought enforcement actions against both promoters and non-securities licensed, independent insurance agents.
Now he works the other side, advising and defending individuals and businesses, including registered investment advisers, investment adviser representatives, broker-dealers, securities sales representatives, and insurance producers in both regulatory matters and customer disputes. Reach out to Paul at firstname.lastname@example.org.
I. Regulatory hot spots in SEC and state enforcement actions | 11:00am – 11:12am
II. Common securities issues in transactions and business matters | 11:12am – 11:24am
III. Strategies for responding to SEC and state inquiries and investigations | 11:24am – 11:36am
IV. Anticipating common issues | 11:36am – 11:48am
V. When to disclose an investigation | 11:48am – 12:00pm