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How to Survive an SEC Investigation or Enforcement Action

Start Date:5/19/2020

Start Time:1:00 PM EDT

Duration:60 minutes

Abstract:

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Speakers

Richard B. Levin

Chair FinTech and Regulation Practice

Polsinelli

Richard Levin brings his experience as a senior legal and compliance officer on Wall Street and in London to bear in advising clients on corporate, securities and regulatory issues. Richard’s practice focuses on the representation of early stage and publicly traded companies in the FinTech space, including investment banks, broker-dealers, investment advisers, peer to peer lending platforms, digital currency trading platforms, alternative trading systems (ATSs), and exchanges.

Paul Roshka

Shareholder

Polsinelli

Known for his thorough preparation and persistence, Paul Roshka has a national practice representing companies, their directors, officers, and employees during investigations and enforcement/disciplinary proceedings involving potential violations of the federal and state securities laws, and other financial regulatory statutes and rules. He has handled matters initiated by virtually every SEC Regional Office and FINRA District Office, and their Home Offices in Washington, D.C.

Jason Nagi

Shareholder

Polsinelli

Jason uses his creditor-focused, finance experience to counsel early stage and mature FinTech companies as well as traditional and non-traditional lenders, in both business ventures and litigation. Jason advises clients on SEC, CFTC, FinCEN, and state-level MSBs, including the issuance of securitized digital assets.
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