How to Handle a Securities Regulatory Investigation

Past Webinar

How to Handle a Securities Regulatory Investigation

Start 06/14/2023 - 12:30 PM
End 06/14/2023 - 1:45 PM


How you handle a securities regulatory investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. It is also important to understand your ethical obligations before, during, and after an investigation, as representation lines may become blurred.


At this webinar, our panel of experienced practitioners will discuss:

  • the various stages of a securities regulatory investigation
  • the initial contact
  • demand for documents
  • gathering and distilling data
  • on the record interviews (OTRs)
  • how to avoid full-blown enforcement actions
  • how to protect your client’s public CRD, and
  • ethical considerations to avoid conflicts of interest and rule violations




Faculty: Robert Herskovits, Managing Member, Herskovitts PLLC  (; Ronald Minkoff, Partner, Frankfurt Kurnit & Selz  (; Alex Russell, Managing Director, of White Collar, Regulatory and Internal Investigations, Bates Group   (; Susan Schroeder, Partner, Former Head of FINRA Enforcement and Vice Chair, Securities & Financial Services Department, WilmerHale (


Program Chairs and Moderator: Susan L. Harper, Managing Director, Bates Group (Co-Chair, NYCLA Securities & Exchanges Committee) – Moderator; Benjamin Jackson, Associate, Cohen Milstein (Co-Chair, NYLCA Securities & Exchanges Committee)


Program Co-Sponsor: NYCLA’s Securities and Exchanges Committee


1.5 NY Credits: 1 Ethics; 0.5 Skills; Transitional and Non-transitional; 1.5 NJ Credits: 1 Ethics; 0.5 General



To register: click the Register button below. The website will prompt you to log in or create an account to complete the checkout. If you are not a member, please join the membership before completing the checkout to take advantage of the member’s price. Registration closes 30 minutes before the program.

For technical and account-related issues, please get in touch with us at

Webinar Link: After completing the checkout, you will receive a separate email with webinar access instructions. That email will arrive closer to the program start time. If you are still waiting to receive an access email 30 minutes before the program, please email

Course Materials: We will email the link to download course materials 30 minutes before the program starts.

CLE Certificates (if applicable): After verifying your attendance, we will add your certificate to the “Download CLE Certificates” page, which you can access from your “My Account” page.

Member $25
Non-member $35
Securities and Exchanges Committee $20

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