ACC AZ Meeting 09.24.19: SEC Enforcement

Tuesday September 24

SEC Enforcement

Entertaining yet serious and informative program on recent developments in SEC enforcement-everything from nuts and bolts to the whistle-blower process,and how in-house counsel can avoid being drawn into the fray adverse to the SEC.

PRESENTED BY

2018-2019 Silver Sponsor of the Arizona Chapter

PRESENTERS

Paul Roshka & Craig Waugh

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 almost every SEC Regional Office and FINRA District Office, and their Home Offices in Washington, D.C.

Craig Waugh assists businesses & individuals in resolving their commercial disputes by taking the time to understand their unique situation & explain all of the options available to effectively & efficiently achieve their goals. A substantial portion of his work is focused on prosecuting & defending claims in federal & state courts alleging violations of securities laws & representing entities and individuals before the SEC, Arizona Securities Division & FINRA.