Current Developments in SEC Enforcement
38th Midyear SEC Reporting & FASB Forum
Jun
15
2023
Date: June 15, 2023
Location: San Francisco
Marc Axelbaum joined co-panelist Jason H. Lee, Associate Director of the SEC’s Division of Enforcement (San Francisco Regional Office), in a program examining recent trends and priorities within the Enforcement Division. The discussion highlighted the agency’s current enforcement focus areas, reviewed significant recent cases and their implications for market participants, and offered practical guidance on how companies can prepare for potential inquiries or investigations. The panel also provided insights into ongoing developments in the SEC’s whistleblower program and its growing role in enforcement actions.
Speakers
Marc H. Axelbaum
Panelist
Marc Axelbaum is a Member at Mintz and a versatile litigator who represents US and international clients in criminal and civil cases and sensitive internal, SEC, and regulatory investigations. He handles high-stakes matters for clients across various industries, including traditional and renewable energy, life sciences, health care, technology, banking, investment funds, real estate, and construction.
Jason H. Lee
Panelist
Jason H. Lee is an Associate Director of the SEC’s Division of Enforcement based out of the San Francisco Regional Office. In his role as Associate Director, Mr. Lee oversees the San Francisco office’s enforcement efforts for northern California and the Pacific Northwest. Prior to joining the Commission, Mr. Lee worked in private practice at Latham & Watkins LLP.