New York University’s NYU Center for Law & Business in partnership with the SEC Historical Society will host “Enforcement Remedies,” a panel on the development and use of enforcement remedies by the U.S. Securities and Exchange Commission to oversee the securities industry, on Thurs., Oct. 20, 5-6:30 p.m. (NYU’s Martin Lipton Hall, within D’Agostino Hall, 110 3rd St., betw. MacDougal and Sullivan Sts.). Panelists include the following: Linda C. Thomsen, director of the SEC’s Division of Enforcement; Ralph C. Ferrara, LeBoeuf Lamb Greene & MacRae LLP; William R. McLucas, Wilmer Cutler Pickering Hale & Dorr LLP; and Mary L. Schapiro, NASD. Theodore A. Levine, Wachtell Lipton Rosen & Katz, will moderate the discussion. The panelists will discuss the evolution of enforcement remedies, along with the use of injunctions, civil penalties, bars on officers and directors, and limitations on business.
The event is free and open to the public, which may contact the Washington, D.C.-based SEC Historical Society at 202.756.5016 or email h.zimmerman@sechistorical.org for more information. Reporters interested in attending the event should contact James Devitt, NYU’s Office of Public Affairs, at 212.998.6808 or james.devitt@nyu.edu.
- WHAT: “Enforcement Remedies”
- WHO: Linda C. Thomsen, director of the SEC’s Division of Enforcement; Ralph C. Ferrara, LeBoeuf Lamb Greene & MacRae LLP; William R. McLucas, Wilmer Cutler Pickering Hale & Dorr LLP; Mary L. Schapiro, NASD; and Theodore A. Levine, Wachtell Lipton Rosen & Katz (Moderator)
- WHEN: Thurs., Oct. 20, 5-6:30 p.m.
- WHERE: NYU’s Martin Lipton Hall, within D’Agostino Hall, 110 West 3rd St., betw. MacDougal and Sullivan Sts. [Subway Lines: 6 (Lafayette/Broadway); 1, 9 (Christopher St.); A, B, C, D, E, F, V (West 4th Street); N, R, W (8th Street)]