McLoughlin Serves as Panelist at SIFMA Seminar


Litigation Member Jim McLoughlin recently participated in a "Hot Topics in Securities Regulatory Enforcement" panel at SIFMA's Compliance and Legal Society's Charlotte Regional Seminar. The panel discussed SEC whistleblower program development, the impact of the Supreme Court's Janus Capital decision on SEC enforcement proceedings, aider and abettor liability after the Second Circuit's Apuzzo decision, among other subjects. The panel also featured representatives from FINRA and the U.S. Securities and Exchange Commission.


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