The Lifecycle of an SEC Case
March 15, 2022 • 4:30 PM • Law School 3043
Join us as staff from the SEC's Atlanta Regional Office highlight the work of Securities Examiners and Enforcement Attorneys as they use the federal securities laws to protect investors and hold bad actors accountable. They will detail how Examinations staff conducted an examination of a firm subject to regulation in North Carolina; the suspected violations of federal securities laws that they referred to Enforcement staff; and the investigation conducted by Enforcement attorneys, including collecting evidence, interviewing witnesses, and filing charges in U.S. District Court. This event will provide students with a glimpse into the life of an SEC Enforcement Attorney by detailing a case that was ultimately referred to a U.S. Attorney's Office for criminal prosecution. SEC attorneys will stick around after the event to speak with students about career opportunities at the SEC and answer questions. Sponsored by the Global Financial Markets Center. For more information, contact Jean Jentilet at firstname.lastname@example.org.