Ex. Federal Securities Law Enforcement

The objective of this course is to gain lawyering and legal writing skills through simulating SEC Enforcement investigative processes and litigation. As we proceed, the course will touch on the history of the SEC Enforcement program, the different type of securities fraud violations, various phases of an investigation, including initial intake, a formal order, subpoena document production, investigation testimony the Wells process, and SEC Enforcement litigation in federal courts, including drafting a complaint, taking discovery, moving for summary judgment, pre-trial orders and motions, and finally a jury trial. Students will gain familiarity with the various legal issues relating to the federal securities laws and develop skills in legal research, writing, investigative techniques, litigation skills, the ethical issues particular to government lawyering and reflect on field placements.

Instructors: Alexander Vasilescu and Howard Kim