| • |
"SEC Enforcement Update" |
| |
Pennsylvania Bar Institute (sponsor), January 17, 2008, Philadelphia, PA
(Moderator and Speaker) |
| |
|
| • |
"SEC Investigations and Enforcement Actions: A Practitioner’s Guide" |
| |
Pennsylvania Bar Institute (sponsor), November 14, 2007, Philadelphia, PA
(Moderator and Speaker) |
| |
|
| • |
"Aiding and Abetting Liability Under the Federal Securities Laws" |
| |
Pennsylvania Bar Institute (sponsor), 10th Annual Federal Securities Law Forum, April 11, 2007, Pittsburgh and April 27, 2007, Philadelphia, PA
(Course Planner, Moderator and Speaker) |
| |
|
| • |
"Understanding the Stock Options Backdating ‘Controversy’: It’s Never Too Early or Too Late" |
| |
Philadelphia Bar Association, Securities Regulation Committee (sponsor), December 6, 2006, Philadelphia, PA
(Moderator and Speaker) |
| |
|
| • |
“Conducting Internal Investigations” |
| |
NASD/Wharton Institute (sponsor), October 11-12, 2006, New York City |
| |
|
| • |
"The SEC’s Recent Litigation Experience: Losses and Lessons" |
| |
Pennsylvania Bar Institute (sponsor), 9th Annual Federal Securities Law Forum, April 19, 2006, Pittsburgh and April 28, 2006, Philadelphia, PA
(Course Planner, Moderator and Speaker) |
| |
|
| • |
“Conducting Internal Investigations” |
| |
NASD/Wharton Institute (sponsor), April 6-7, 2006, New York City |
| |
|
| • |
"SEC Enforcement and Private Securities Litigation Update" |
| |
Pennsylvania Bar Institute (sponsor), 8th Annual Federal Securities Law Forum, April 29, 2005, Philadelphia, PA
(Course Planner, Moderator and Speaker) |
| |
|
| • |
"SEC Enforcement and Private Securities Litigation Update" |
| |
Pennsylvania Bar Institute (sponsor), 7th Annual Federal Securities Law Forum, April 26, 2004, Philadelphia, PA
(Course Planner, Moderator and Speaker) |
| |
|
| • |
"The Science of Compliance" |
| |
National Society of Compliance Professionals (sponsor), NSCP 2003 National Membership Meeting, October 31, 2003, Washington, DC |
| |
|
| • |
"SEC Enforcement Actions Against Investment Advisers: Identifying Trend Lines, Lessons, and Predictions" |
| |
IA Week (sponsor), 3rd Annual Fall Compliance Conference, September 8, 2003, Philadelphia, PA
(Speaker) |
| |
|
| • |
"SEC & Private Litigation Developments" |
| |
6th Annual Federal Securities Law Forum, April 7, 2002, Philadelphia, PA
(Course Planner, Moderator and Speaker) |
| |
|
| • |
"Ideal Compliance Procedures" |
| |
NSCP 2003 East Coast Regional Membership Meeting, March 31, 2003, New York, NY
(Speaker) |
| |
|
| • |
"Investment Adviser Marketing Practices" |
| |
Society of Financial Service Professionals (sponsor), The 2003 Audio Conference Series, January 15, 2003, Philadelphia, PA
(Featured Speaker) |
| |
|
| • |
"Day to Day Compliance Obligations" |
| |
National Society of Compliance Professionals (sponsor), NSCP 2002 National Membership Meeting, October 2, 2002, Washington, DC |
| |
|
| • |
"SEC Enforcement Actions Against Investment Advisers - What Every Adviser Needs to Know" |
| |
IA Week (sponsor), Second Annual National Symposium on Investment Adviser Regulation, September 9, 2002, Philadelphia, PA
(Luncheon Speaker) |
| |
|
| • |
"SEC Enforcement and Private Securities Litigation Update" |
| |
Pennsylvania Bar Institute (sponsor), 5th Annual Federal Securities Law Forum, April 26, 2002, Philadelphia, PA
(Course Planner, Moderator and Speaker) |
| |
|
| • |
"Disclosure, Fiduciary Duties & the Tension Between Government & Business" |
| |
Pennsylvania Bar Institute (sponsor), "Planning for Disaster" April 22, 2002, Philadelphia, PA |
| |
|
| • |
"Writing, Implementing and Overseeing Compliance & Supervisory Procedures" |
| |
National Regulatory Services (sponsor), NRS Annual Spring 2002 Compliance Conference, April 10, 2002, Miami Beach, FL |
| |
|
| • |
"Lessons Learned from Recent IA & B-D Enforcement Cases" |
| |
National Regulatory Services (sponsor), NRS Annual Spring 2002 Compliance Conference, April 8, 2002, Miami Beach, FL |
| |
|
| • |
"Internal Auditing: Building a Rapid Response & Remediation Program" |
| |
National Regulatory Services (sponsor), NRS Annual Spring 2002 Compliance Conference, April 7, 2002, Miami Beach, FL |
| |
|
| • |
"Guidelines for the Practical Implementation of Policies & Procedures" |
| |
National Society of Compliance Professionals (sponsor), "NSCP 2001 National Membership Meeting" October 18, 2001, Washington, DC |
| |
|
| • |
"The Arbitration Litigation Landscape" |
| |
National Regulatory Services (sponsor), 2nd Annual Conference on Suitability for Traditional and Online Brokers, October 4, 2001, New York, NY |
| |
|
| • |
"Enforcement Proceedings Involving Investment Advisers" |
| |
IA Week (sponsor), National Symposium on Investment Adviser Regulation, September 10, 2001, Philadelphia, PA
(Conference Co-Chair, Moderator and Speaker) |
| |
|
| • |
"Sharing Equity with Your Legal Counsel - Benefit or Boondoggle?" |
| |
Women's Investment Network (sponsor), WIN Summer Educational Program, June 28, 2001, Philadelphia, PA
(Speaker) |
| |
|
| • |
"An Update on SEC Enforcement Matters and Private Securities Litigation" |
| |
Pennsylvania Bar Institute, 4th Annual Federal Securities Law Forum, April 27, 2001, Philadelphia, PA
(Course Planner, Moderator and Speaker) |
| |
|
| • |
"Financial Services Modernization: One Year After Gramm-Leach-Bliley" |
| |
American Bar Association's Tort and Insurance Practice Section, 27th Annual Committee CLE Midwinter Meeting, January 10-13, 2001, Palm Beach, FL
(Moderator) |
| |
|
| • |
"SEC Enforcement Initiatives in the Accounting Field" |
| |
Center for Professional Education, Inc., SEC Conference: An Accounting & Reporting Update for Public Companies, September 2000, Washington, DC, and December 2000, Phoenix, AZ
(Moderator and Speaker) |
| |
|
| • |
"Public Disclosure: Getting the News Out" |
| |
Center for Professional Education, Inc. SEC Conference: An Accounting & Reporting Update for Public Companies, September 2000, Washington, DC; December 2000, Phoenix, AZ
(Moderator and Speaker) |
| |
|
| • |
"Investment Adviser Marketing Practices" |
| |
National Society of Compliance Professionals Annual Meeting, October 2000, Washington, DC |
| |
|
| • |
"Compliance After Gramm-Leach-Bliley" |
| |
American Bar Association Annual Meeting, July 2000, New York, NY |
| |
|
| • |
"Counseling the Audit Committee" |
| |
Pennsylvania Bar Institute, 3rd Annual Federal Securities Law Forum, April 2000, Philadelphia, PA and Pittsburgh, PA
(Course Planner, Moderator and Speaker) |
| |
|
| • |
"Dealing With Multiple Regulators" |
| |
American Bar Association Mid-Winter Meeting, January 2000, Key Biscayne, FL |
| |
|
| • |
"Money Manager Mobility Woes" |
| |
National Society of Compliance Professionals Annual Meeting, October 1999, Washington, DC |
| |
|
| • |
"Securities Compliance in the Electronic Age" |
| |
Philadelphia Area Compliance Roundtable, June 1999, Philadelphia, PA |
| |
|
| • |
"Small Firm Compliance Issues for Investment Advisers" |
| |
National Society of Compliance Professionals Regional Regulatory & Compliance Conference, May 1999, New York, NY |
| |
|
| • |
"The SEC's Assault on Earnings Management" |
| |
Pennsylvania Bar Institute, 2nd Annual Federal Securities Law Forum, April 1999, Philadelphia, PA and Pittsburgh, PA
(Course Planner, Moderator and Speaker) |
| |
|
| • |
"Fundamentals of Conducting Internal Investigations" |
| |
Philadelphia Area Compliance Roundtable, November 1998, Philadelphia, PA. |
| |
|
| • |
"The Do's and Don'ts of Hiring and Firing Brokers" |
| |
Bank Securities Association, Annual Regulatory, Legislative and Compliance Meeting, September 1998, Washington, DC |
| |
|
| • |
"The Hazards of Parallel Proceedings After Halper" |
| |
Pennsylvania Bar Institute, Annual Federal Securities Law Forum, April 1998, Philadelphia, PA
(Course Planner, Moderator and Speaker) |
| |
|
| • |
"Company Registration From A Litigation Perspective" |
| |
Philadelphia Bar Association, September 1996, Philadelphia, PA |
| |
|
| • |
"Insider Trading Developments" |
| |
Philadelphia Bar Association, Federal Securities Litigation Forum, November 1996, Philadelphia, PA
(Course Planner, Moderator and Speaker) |
| |
|
| • |
"How To Handle An SEC Exam" |
| |
Private seminar, November 1996, Philadelphia, PA |
