December 4, 2020

Volume X, Number 339

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SEC Enforcement in 2020, the Election & Future of the SEC [PODCAST]

In Faegre Drinker’s “Enforcement Highlights” inaugural podcast, Jim Lundy moderates a panel with fellow SEC and Regulatory Enforcement partners Mike MacPhail and David Porteous, Capital Markets Team Co-Leader Beth Diffley, and Investment Management Group partner Jillian Bosmann to discuss the pandemic’s impact on the SEC’s Division of Enforcement and the potential impacts of the 2020 election on the SEC and its future.'

© 2020 Faegre Drinker Biddle & Reath LLP. All Rights Reserved.National Law Review, Volume X, Number 302
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About this Author

James G. Lundy, Drinker Biddle, regulatory investigations lawyer, financial services compliance attorney
Partner

James G. Lundy represents clients in Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), self-regulatory organization, and other financial regulatory agency investigations and examinations, and compliance and governance counseling, white collar criminal investigations, and complex business litigation.

With 12 years of senior SEC experience and more than two years of in-house experience at a futures and securities brokerage firm, Jim has developed an in-depth working knowledge of the various...

312-569-1120
Michael R. MacPhail Partner Denver Litigation White Collar Crime
Partner

Michael MacPhail defends clients against federal and state government agencies during civil and criminal investigations and litigation, primarily involving the securities industry. He represents public companies, registered investment advisers and broker-dealers.

Securities Litigation

Michael handles investigations and litigation by securities regulators including:

  • The U.S. Securities and Exchange Commission (SEC)

  • The FINRA

  • The Public Company Accounting Oversight Board (PCAOB)

  • The Colorado Division of...

303-607-3692
David W. Porteous Corporate Attorney Faegre Drinker Biddle & Reath Chicago, IL
Partner

David Porteous routinely counsels clients in the investment management, broker-dealer and financial services industries on regulatory matters including examinations, investigations and enforcement proceedings as well as complex civil and securities-related litigation. In addition, he assists clients in developing and implementing compliance and regulatory risk management plans and represents clients in complex civil and securities litigation.

Regulatory Agency Background

Before entering private practice, David was a staff attorney in the Securities & Exchange Commission...

312-356-5117
Elizabeth A. Diffley, Corporate, Securities Attorney, Drinker Biddle, Law Firm
Partner

Elizabeth A. Diffley is an accomplished and pragmatic advisor to public and private clients on corporate and securities matters, including corporate governance, capital raising transactions, public company reporting and compliance, and mergers and acquisitions, as well as general corporate matters. Knowledgeable across a broad range of industries, Beth has particular experience advising insurance and other financial services companies on a variety of securities, mergers and acquisitions, governance and general corporate matters.

...
215-988-2607
Jillian L. Bosmann, Corporate attorney, Drinker Biddle
Partner

Jillian L. Bosmann represents investment companies and business development companies and their boards of directors. She also advises investment advisers on regulatory, compliance and corporate matters. Jillian is a partner in the nationally ranked Investment Management Practice Group.

In addition to providing ongoing representation, Jillian has assisted funds and their advisers with developing a wide variety of investment products, including mutual funds and mutual fund complexes, closed-end funds, continuously offered closed-end funds, exchange-...

(215) 988-3307
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