Securities and Exchange Commission Historical Society
Program

Litigating Against the SEC: Challenges and Approaches

Panelists
Andrew M. Calamari; Haima V. Marlier; Barry W. Rashkover; Silvia L. Serpe; Ladan F. Stewart

This event has ended. Due to technical difficulties, a recording will not be available.

WHEN
Tuesday, January 10, 2023
3:30 - 5:00 PM (ET)

WHERE
Sidley Austin LLP
787 7th Avenue
New York, NY 10019

This program is made possible with the generous support of Sidley Austin LLP.


Historically, most Securities and Exchange Commission enforcement actions have settled without litigation. Increasingly, however, parties in the cross-hairs of SEC Enforcement are considering the pros and cons of litigating rather than settling. Join Sidley, the SEC Historical Society, and a panel of current and former SEC litigators as we examine how and why litigation with the SEC has evolved over time. Panelists will explore changes in practices and procedures and their effects as evidenced by recent Supreme Court rulings and other decisions.

Major topics of discussion will include:

  • An evolving "litigate or settle" calculus.
  • Changes/challenges in litigating through ALJ & other administrative procedures.
  • Evolving discovery and motion practices and the impact on parallel investigations and proceedings.
  • Statutes of limitations under 2020 NDAA and the effects on litigation.

Application for NY CLE credit pending.

Panelists

  • Andrew M. Calamari, Partner, Finn Dixon & Herling LLP Former Director, SEC New York Regional Office
  • Haima V. Marlier, Partner, Morrison Foerster LLP; Former Senior Trial Counsel, Division of Enforcement, SEC New York Regional Office
  • Barry W. Rashkover, Partner, Sidley Austin LLP; Former co-head of Enforcement and associate director, SEC Northeast Regional Office
  • Silvia L. Serpe, Founding Partner, Serpe LLC; Former Assistant U.S. Attorney in the Civil Division of the U.S. Attorney's Office for the Southern DIstrict of New York
  • Ladan F. Stewart, Regional Trial Counsel, Crypto Asset and Cyber Unit, Division of Enforcement, SEC New York Regional Office


Permission for Use

The virtual museum and archive is copyrighted by the SEC Historical Society. The Society reserves the right to restrict access to or use of the museum by any user at any time.

Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.

Material used with the Society's permission should be credited to: www.sechistorical.org.