How to Handle a Securities Regulatory Investigation


How to Handle a Securities Regulatory Investigation

Recorded On 06/14/2023


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; Non-transitional; 1.5 NJ Credits: 1 Ethics; 0.5 General



All Programs include 1 Affirmation and 1 Evaluation Form, and Course Materials.

To receive CLE credit for a program in Online Video Format:

Online Videos contain CLE codes that you must type into a supplied online affirmation form. Submit the online affirmation to the NYCLA CLE Institute to be issued a CLE certificate. We recommend that you watch the video as soon as possible.

We can only issue CLE credit if the law is still current.

Course Materials: You can download course materials on the Online Video webpage.


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