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Preparing for the SEC

Marsh, Mintz Levin, and Grant Thornton


Date: May 12, 2016

Time: 11:00AM - 2:00PM

Location: New York, NY

Please join us Thursday, May 12, 2016, from 3 p.m. to 5 p.m. for a panel discussion on how to manage Securities and Exchange Commission (SEC) investigations.

We'll address:

  • How to handle an internal investigation (before the SEC is involved).
  • What to do when you receive the SEC subpoena or other communication.
  • How to prepare to defend against an SEC proceeding.
  • Litigating against the SEC in an administrative proceeding and subsequent litigation.

Speakers will include defense counsel who recently successfully litigated an individual's challenge of an SEC administrative order, a forensic accountant experienced in internal and SEC investigations, and an insurance broker familiar with the potential benefits and shortcomings of insurance in the context of SEC investigations, proceedings, and litigation.
Please join us for a networking reception, sponsored by Mintz Levin, immediately following the program from 5 p.m. to 6 p.m.


Professional Cropped Sylvia Jack Mintz

John F. Sylvia


John F. Sylvia is Co-chair of the Securities Litigation Practice at Mintz. Jack's practice encompasses all facets of securities and financial fraud litigation. His clients include public and private corporations, officers, directors, accountants, mutual funds, and portfolio managers.
Professional Cropped Earley Frank Mintz

Francis J. Earley


Francis J. Earley is a Mintz litigator who handles complex commercial and securities disputes for individuals and public and private companies across numerous sectors. Frank advises clients on corporate governance issues and represents them in class action cases and arbitration matters.