Parallel Proceedings by the SEC and DOJ: How to Avoid a Collision in Two-Way Traffic

January 2015

The program will provide insight and tips to those lawyers whose clients face simultaneous proceedings or investigations by both the US Attorney's Office and the SEC. 

Panelists will address opportunities for proactive cooperation with each agency, stays of proceedings, individual and joint proffers, discovery hurdles, and others topics necessary when handling multiple agency investigations or litigation in related matters. Panelists will also focus the current types of cases they are seeing, including insider trading involving lawyers and FCPA.


  • Richard Rosenweig
    Director, Goulston & Storrs


  • Stephen E Frank
    Deputy Chief, Economic Crimes Unit, U.S. Attorney's Office
  • Eric Forni
    U.S. Securities & Exchange Commission, Senior Counsel, Market Abuse Unit, Division of Enforcement
  • John J. Falvey Jr.
    Partner, Goodwin Procter LLP