This program will provide an overview of securities laws including The Securities Act, The Securities Exchange Act, The Investment Company Act & The Investment Advisors Act, The Model Uniform Securities Act, and Securities and Exchange Commission Regulations. The presenters will also discuss private securities litigation, federal and state regulatory actions and the potential for criminal exposure from violations of securities law.Timed Agenda:
12:00-1:00pm: Panel Daniel Crump and Jessica Lewis
- The Securities Act recap
- The Model Uniform Securities Act differences
- The Securities Exchange Act
- The Investment Company Act/Investment Advisors Act
- Securities and Exchange Commission Regulations updates
- Caselaw in private securities, federal and state precedent
- Potential criminal liability to look for
Daniel Crump represents individual and corporate clients in white-collar criminal cases and regulatory enforcement matters. He has conducted investigations and litigated matters involving allegations of securities fraud, accounting fraud, price fixing, bribery, embezzlement and FCPA violations.
Mr. Crump has significant trial experience. In 2018, he helped obtain an acquittal for a foreign exchange trader charged with a criminal violation of the Sherman Act in the US District Court for the Southern District of New York. In 2016, he was a member of the WilmerHale trial team that prevailed on all eleven claims brought by the SEC against two former executives of Thornburg Mortgage.
In addition, Mr. Crump has extensive experience conducting high-stakes investigations for corporate clients. For example, he recently represented a consumer healthcare technology company in parallel inquires by the DOJ, SEC, state AGs and other regulators into all aspects of the company’s business and finances. He also represented the audit committee of the board of directors of a major technology company in DOJ and SEC inquiries into its business practices in Russia.
Mr. Crump earned his JD from the University of California, Berkeley School of Law.
Jessica Lewis is a litigator with a focus on securities litigation and enforcement matters, as well as general commercial litigation. She represents public companies, financial institutions, and their officers and directors in complex individual, class action and derivative cases in federal and state court.
Ms. Lewis maintains a robust pro bono practice. Among other successes, she has defended a client in a high-stakes international custody dispute and also helped to obtain a rare federal jury verdict in favor of another client, a California state prisoner, in a First Amendment retaliation case brought against state correctional officers.
In 2017, Ms. Lewis served as a Special Assistant District Attorney with the Middlesex County District Attorney's Office, during which she first-chaired 15 trials and more than a dozen evidentiary and other hearings.
Ms. Lewis earned her JD from, Harvard Law School and has been selected to serve as a member of The American Lawyer’s Young Lawyer Editorial Board.