Whistleblowing in the Corporate World Series: Part 2 -- A Securities Law Primer (live audio webcast)


Tuesday, September 11, 2012



Jordan A. Thomas, partner, Labaton Sucharow LLP and frmr assistant dir, Enforcement Div, SEC




noon-1 pm EDT

CLE Credits:

1 hr

Securities fraud schemes are often difficult to detect and prosecute without inside information or assistance from participants in the scheme or their associates.  Furthermore, given the extreme fiscal constraints that the SEC operates under and the vast scope and complexities of the markets, products and transactions it regulates, the SEC must increasingly rely upon individuals to report possible securities violations.  For potential whistleblowers, when deciding whether to report a possible securities violation, there is no substitute for securities knowledge and experience.  This presentation is designed to help potential whistleblowers and other interested parties to determine whether a violation of the federal securities laws has occurred, assess the significance of the violation, and evaluate the probability of a successful SEC enforcement action.