BO03 - Secondary Liability for Actors Who Participate in Fraudulent Investment Schemes/Clearing Firms

Date/Time: 
10/22/2020 - 10:50am to 10/22/2020 - 11:50am
Room: 
Rocky Mt. Ballroom A

This section will explore how to evaluate and prosecute claims against secondary actors – those not directly involved in the purchase or sale transaction, but who have liability nonetheless. We will cover when to bring secondary claims, the different legal theories that are available, and how defense counsel defends the cases. The selected topics will include participants and material aiders under state securities statutes, control person liability under state and federal law, agency liability, and a discussion on lawyer and accountant liability. A “must attend” session!