| Conducting Internal Investigations |
NASD/Wharton Institute |
2006 |
| The SEC’s Recent Litigation Experience: Losses and Lessons |
Pennsylvania Bar Institute |
2006 |
| The SEC’s Recent Litigation Experience: Losses and Lessons |
Pennsylvania Bar Institute |
2006 |
| Conducting Internal Investigations |
NASD/Wharton Institute |
2006 |
| Conducting Internal Investigations |
NASD/Wharton Institute |
2006 |
| SEC Enforcement and Private Securities Litigation Update |
Pennsylvania Bar Institute |
2005 |
| SEC Enforcement and Private Securities Litigation Update |
Pennsylvania Bar Institute |
2004 |
| The Science of Compliance |
National Membership Meeting |
2003 |
| SEC Enforcement Actions Against Investment Advisers: Identifying Trend Lines, Lessons, and Predictions |
3rd Annual Fall Compliance Conference |
2003 |
| Ideal Compliance Procedures |
NSCP 2003 East Coast Regional Membership Meeting |
2003 |
| Investment Adviser Marketing Practices |
The 2003 Audio Conference Series |
2003 |
| Day to Day Compliance Obligations |
NSCP 2002 National Membership Meeting |
2002 |
| SEC Enforcement Actions Against Investment Advisers - What Every Adviser Needs to Know |
Second Annual National Symposium on Investment Adviser Regulation |
2002 |
| SEC Enforcement and Private Securities Litigation Update |
Pennsylvania Bar Institute |
2002 |
| Disclosure, Fiduciary Duties & the Tension Between Government & Business |
NRS Annual Spring 2002 Compliance Conference |
2002 |
| Lessons Learned from Recent IA & B-D Enforcement Cases |
NRS Annual Spring 2002 Compliance Conference |
2002 |
| SEC & Private Litigation Developments |
6th Annual Federal Securities Law Forum |
2002 |
| Aiding and Abetting Liability Under the Federal Securities Laws |
Pennsylvania Bar Institute |
|