PHILADELPHIA — Stradley Ronon hosted a webcast February 21 to discuss U.S. Securities and Exchange Commission enforcement themes and how they impact investment advisers. The webcast — “SEC Enforcement and Investment Advisers: 2023 Is in the Books. How Will 2024 Look?” — featured Gregory DiMeglio, chair of the firm’s securities enforcement practice, and Jan Folena, co-chair of the securities litigation and enforcement practice. The event was moderated by partner Peter Bogdasarian.
The webcast reviewed key enforcement themes and results for fiscal year 2023, discussed the most important enforcement developments so far in the first half of fiscal year 2024, and provided insight into what investment advisers should expect from SEC enforcement going forward.
Greg DiMeglio has been a securities enforcement lawyer for over 26 years. He focuses his practice on the representation of investment advisers, investment companies, broker-dealers, public companies, boards of directors, board committees, auditors, and other entities and individuals in connection with examinations, investigations and enforcement actions by the SEC, U.S. Department of Justice, other federal and state regulators, and industry self-regulatory organizations. Prior to joining Stradley Ronon, Greg was a senior counsel in the SEC’s Enforcement Division.
Jan Folena is the co-chair of the firm’s securities litigation and enforcement practice group. She is a nationally recognized trial and appellate lawyer with more than 20 years of federal government enforcement, investigation and litigation experience. Prior to joining Stradley Ronon, Jan served as supervisory assistant chief litigation counsel at the SEC, leading some of the industry’s most complex and high-profile cases in the Division of Enforcement. She also served as chief trial counsel at the Commodity Futures Trading Commission and trial counsel at the Department of Justice.
Peter is a member of the firm’s securities litigation and enforcement and white-collar defense practices. He has experience with inquiries, investigations and enforcement actions initiated by the SEC, other federal and state agencies, and self-regulatory organizations. He also conducts internal investigations designed to advise and assist companies in preventing or responding to regulatory actions.
About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies — from small businesses to Fortune 500 corporations — achieve their goals by providing pragmatic, value-driven legal counsel. With offices in eight strategic locations, our responsive team of more than 200 lawyers seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.