SEC and FINRA Enforcement of Insider Trading: Current Issues and a Look at What's Next

Date & Time: Tuesday, January 14, 2014 from 12:30 pm to 2:00 pm

CLE Credit: No

Event Description
Join us for a wide-ranging discussion of current insider trading enforcement issues and investigative approaches featuring Dan Hawke, the Chief of the Securities and Exchange Commission's (SEC) Market Abuse and Insider Trading Specialized Unit; Sam Draddy, head of the Financial Industry Regulatory Authority's (FINRA) Insider Trading Surveillance Unit; Professor Donald Langevoort, a leading legal scholar in the area of insider trading; and experienced SEC defense practitioners Larry Elllsworth (Jenner & Block) and Russ Ryan (King & Spalding).

This luncheon event is sponsored by the Broker-Dealer Regulation and SEC Enforcement Committee of the Corporation, Finance, and Securities Law Section, in cosponsorship with the Litigation Section.

D.C. Bar Conference Center
1101 K Street, NW, Conference Center
(Metro Center Station)
Washington DC 20005

Contact Information
Sections Office
Phone: 202-626-3463
Fax: 202-824-1877

  • Samuel J. Draddy, VP, FINRA Office of Fraud Detection and Market Intelligence and head of FINRA’s Insider Trading Surveillance Unit

  • Larry P. Ellsworth, Partner, Jenner & Block

  • Daniel M. Hawke, Chief, Market Abuse Unit, SEC Division of Enforcement

  • Professor Donald C. Langevoort, Thomas Aquinas Reynolds Professor of Law , Georgetown Law School

  • Russell G. Ryan, Partner, King & Spalding LLP (Moderator)


Corporation, Finance and Securities Law Section


Government or Non-Profit Employee


Law Student


Litigation Section


Non-Section Member