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Securities Defense Strategies in SEC and State Enforcement

Paul Vorndran
Paul Vorndran
Jones & Keller

Paul Vorndran is a securities litigation and enforcement defense attorney with Jones & Keller in Denver. Paul defends individuals and entities in investigations and enforcement actions brought by the SEC, FINRA and state securities commissioners.

Blaine Bengtson
Blaine Bengtson
Jones & Keller

Blaine Bengtson is an associate securities litigation and defense attorney with Jones & Keller in Denver. He represents entities and individuals in securities-related disputes under state and federal securities laws, including defense of actions brought by investors and securities regulators against issuers of securities and FINRA-registered representatives.

On-Demand: March 7, 2022

$95.00 1 hour CLE

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Program Summary

When it comes to SEC and State enforcement of securities laws, legal issues businesses and individuals face at the outset may not be the same issues that emerge as the investigation and enforcement process unfolds. This heightens risk for law practitioners and their clients, making strategy all the more important to reduce costs and risk of enforcement action that could result in disgorgement, damages, penalties and a bar from the industry.

In this program, Securities and Enforcement Defense Litigators Paul Vorndran and Blaine Bengtson share what regulators are looking for at the federal and state levels, who is being targeted, and strategies for defending investigations and enforcement actions. Paul Vorndran has 25 years of experience handling securities investigations, first as an attorney in the Colorado Securities Commissioner’s Office and later as a shareholder at Jones & Keller P.C.

This course is co-sponsored with myLawCLE.

Key topics to be discussed:

  • Explore current enforcement priorities and trends
  • Evaluate strategies for responding to SEC and state requests for documents and testimony
  • Learn to anticipate common issues to expect
  • Consider the SEC’s recent enforcement actions
  • Understand when to disclosure an investigation

Date / Time: March 7, 2022

  • 12:00 pm – 1:00 pm Eastern
  • 11:00 am – 12:00 pm Central
  • 10:00 am – 11:00 am Mountain
  • 9:00 am – 10:00 am Pacific

Choose a format:

Live Video Broadcast/Re-Broadcast: Watch Program "live" in real-time, must sign-in and watch program on date and time set above. May ask questions during presentation via chat box. Qualifies for "live" CLE credit.

On-Demand Video: Access CLE 24/7 via on-demand library and watch program anytime. Qualifies for self-study CLE credit. On-demand versions are made available 5 business days after the original recording date and are viewable for up to one year.

Closed-captioning available

Speakers

Paul Vorndran_myLawCLEPaul Vorndran | Jones & Keller

Paul Vorndran is a securities litigation and enforcement defense attorney with Jones & Keller in Denver. Paul defends individuals and entities in investigations and enforcement actions brought by the SEC, FINRA and state securities commissioners. He has extensive experience in the areas of investment securities and litigation.

During his six years with the Colorado Attorney General, Paul represented the Colorado Securities and Insurance Commissioners and brought enforcement actions against both promoters and non-securities licensed, independent insurance agents. Now he works the other side, advising and defending individuals and businesses, including registered persons, issuers and companies engaged in the offering and selling of securities, regulatory matters and customer disputes.

 

Blaine Bengtson_myLawCLEBlaine Bengtson | Jones & Keller

Blaine Bengtson is an associate securities litigation and defense attorney with Jones & Keller in Denver. He represents entities and individuals in securities-related disputes under state and federal securities laws, including defense of actions brought by investors and securities regulators against issuers of securities and FINRA-registered representatives.

Blaine also represents business and individuals in a variety of complex commercial disputes, including breach of contract, fraud, tortious interference, defamation, unjust enrichment, and misappropriation of trade secrets.

Agenda

I. Statutory design of Securities enforcement | 12:00 pm – 12:15 pm
II. Regulated parties | 12:15 pm – 12:30 pm
III. SEC examination and enforcement priorities | 12:30 pm – 12:45 pm
IV. Blue Sky Laws and State enforcement | 12:45 pm – 1:00 pm

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