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Litigating and Winning Against the SEC in a Financial-Crisis-Era Complex Case

Tuesday, January 29, 2013 12:00 PM to 1:00 PM
Boston Bar Association - 16 Beacon Street, Boston, MA


The SEC v. Steffelin case was a highly publicized financial-crisis-era case claiming fraud in offering a $1 billion CDO that referenced mortgage-related securities.  Defendants succeeded in getting the SEC to dismiss the case after a year and a half of discovery and litigation.  The program will review in detail the themes and arguments that we believe led to the dismissal, which may be applicable to the large number of similar private and enforcement cases that are pending.  The presentation will also address common themes in two other high profile wins for the defense: the Bent case, which arose out of a money market fund "breaking a buck" after Lehman Bros. collapsed, and the Hopkins/Flannery case, relating to fund disclosure about exposure to subprime-related investments. 


Sponsoring Section/Committee(s):




Sara Mackey


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