Individual Liability: What’s Behind the Headlines?

06/26/2014 10:00 a.m. - 11:30 a.m. PDT

Banking + Financial Services, Corporate Finance | Capital Markets, Financial Institutions + Financial Services, Financial Services Enforcement, and Investigations + White Collar Defense

Demme Doufekias and Nancy R. Thomas

Demme Doufekias and Nancy R. Thomas


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Jenni Dubman
(415) 268-6742

In the wake of the financial crisis, federal and state regulators and prosecutors increasingly are targeting individuals at financial institutions for alleged violations of financial laws and regulations.  Regulators, prosecutors, and prominent judges have proclaimed that individuals must be held accountable.  Regulators are expanding the traditional focus on wrongful conduct by individual corporate officers and compliance professionals to reach what they view as lapses in management and oversight responsibilities. 

Join us for this webinar to learn what corporate directors, officers and compliance professionals should know about renewed scrutiny and expanded civil and criminal enforcement by state and federal financial services regulators and securities regulators.

Topics Will Include:

  • How are old laws being repurposed and rewritten to expand regulatory theories of liability?
  • What are financial services and securities regulators saying about the new focus on individuals and what authority do they have to put those statements into action?
  • With civil enforcement on the rise, what are the implications for criminal enforcement?
  • What do the actions pursued against individuals so far tell us about likely targets in future proceedings?
  • How can corporate entities and their  executives and compliance officers  identify, manage and  mitigate emerging risks?


  • Michael Agoglia
    Partner, Morrison & Foerster, San Francisco
  • Demme Doufekias
    Partner, Morrison & Foerster, Washington D.C.
  • Tom Noto
    Partner, Morrison & Foerster, Washington D.C.


  • Nancy Thomas
    Partner, Morrison & Foerster, Los Angeles

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