Public companies managing the fallout from a cyber breach need to prepare for potential investigations by the U.S. Securities and Exchange Commission (SEC) and potential securities litigation, including class actions and stockholder derivative suits.
Join Robert L. Hickok, Jay A. Dubow and Thomas H. Cordova for a discussion about SEC enforcement actions following cyber breaches and how public companies can minimize the risk of SEC investigations and Securities Litigation after a cyber breach.
The presentation will address lessons learned from past SEC and shareholder derivative actions involving cyber breaches, provide practical advice about drafting disclosures, and address proposed rules by the SEC.
Presenter Bios
Thomas Cordova, Esq. counsels and defends corporations, and their employees and executives in government investigations and enforcement matters, with a particular focus on the False Claims Act and Anti-Kickback Statute.
Thomas has conducted sophisticated internal corporate investigations and regularly advises clients on compliance strategies. He has additional experience defending corporations and individuals against various securities fraud allegations.
Thomas represents clients in all aspects of civil litigation, including responding to discovery requests, preparing witnesses for depositions/deposing witnesses, and trial preparation.
Jay Dubow, Esq. co-leads the securities investigations and enforcement practice at Troutman Pepper. He focuses his practice on complex business litigation, with a special emphasis on defending against shareholder derivative and securities class action litigation. He also represents clients involved in investigations by the U.S. Securities and Exchange Commission (SEC) the Pennsylvania Department of Banking and Securities, and various self-regulatory organizations, including the Financial Industry Regulatory Authority, Inc. (FINRA). He also conducts internal investigations on behalf of clients. Such investigations have included allegations involving the Foreign Corrupt Practices Act (FCPA), whistle blower claims, financial fraud, and civil and criminal violations of various federal and state laws.
Jay also counsels cannabis and CBD industry clients on corporate and regulatory issues, as well as the potential risks both for cannabis-focused companies and non-industry participants doing business with cannabis companies.
Jay previously worked at a public credit card company as senior vice president, general counsel, and chief administrative officer. Jay began his career as a staff attorney and then branch chief in the Division of Enforcement of the SEC in Washington, D.C.
Active in local and national bar associations, Jay is a leader in the American Bar Association’s Business Law Section and currently serves as vice chair of the Business and Corporate Litigation Committee, co-chair of the Cannabis and Alcoholic Beverages Subcommittee, and vice chair of the Criminal and Enforcement Litigation Subcommittee. He is on the editorial board of The Business Lawyer, the law review of the Section of Business Law of the American Bar Association.
Bob Hickok, Esq. is particularly interested in the application of economic analysis to resolve legal issues. He has used economic analysis in antitrust cases (product and market definition and product pricing), federal securities law cases (the efficient capital market theory), and commercial contract cases (measure of damages). In addition, Bob has substantial experience in litigation concerning the application of various accounting principles and is interested in applying technology to information and litigation management.
Previously, Bob worked as a federal prosecutor in the U.S. Attorney’s Office in Philadelphia, where he conducted numerous fraud, corruption, and tax prosecutions. Bob has been an adjunct professor at Drexel University Kline School of Law and Rutgers-Camden School of Law, whe
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