Holding the Gatekeepers Accountable when a Company Goes Dark

Anderson Kill

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DATE: Thursday, April 7, 2016

TIME: 2:30 PM - 6:30 PM

VENUE: Upper Story, D&D Building, 979 Third Avenue, 14th Floor, New York, NY 10022

When a company harms investors by failing to report financial and operational data adequately or accurately, it can be difficult to obtain redress -- especially if the company's principle operations are overseas.  In such cases, investors should consider seeking restitution from the company's gatekeepers -- accountants, underwriters, broker-dealers, auditors and lawyers.

These gatekeepers are charged with insuring that financial and operations data publicly released to the markets is accurate.  In some cases, their dereliction of the function entrusted to them exposes investors to fraud.

This seminar will demonstrate how to recover from gatekeepers when plaintiff's diligence finds that they negligently discharged their duties in vetting the issuer of the securities in question. We will address the following:

1. The diligence required of each of the gatekeepers, and the manner in which an investigative team along with counsel can vet that financial and operational due diligence to determine whether litigation against gatekeeper(s) is available for a particular issuer.

2. Litigation against accountants, lawyers and underwriters to recover investment losses: When and how to deploy the strategy.

3. Litigation against broker-dealers to recover investment losses: When and how to deploy the strategy.

4. Litigation against other US targets associated with and responsible for corporate malfeasance on a personal basis, such as independent directors, officers, and executives: When and how to deploy the strategy.

REGISTRATION: 2:30 pm - 3:00 pm

CONFERENCE: 3:00 pm - 5:00 pm

NETWORKING RECEPTION: 5:00 pm - 6:30 pm

COST: Complimentary with RSVP

CLE Approved:

NY CLE: 2.0 credits

PA CLE: 2.0 credits

NJ CLE: 2.4 credits presumptively approved


David Graff, Shareholder
Anderson Kill

Robert W. Seiden
Founder and President
Confidential Global Investigations (CGI)

Rachael Kierych, Attorney
Anderson Kill

Christopher L. Ayers, Attorney
Anderson Kill 

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