Faculty: Kurt Wolfe

Wolfe 150Kurt Wolfe is a member of Troutman Sanders’ Government Investigations, Compliance and Enforcement practice and represents public companies, financial institutions, asset management firms, and individuals in internal investigations and government enforcement inquiries.

Kurt is experienced in securities regulatory matters and has represented clients in a wide range of investigations and enforcement proceedings, including matters involving securities fraud, accounting fraud, FCPA violations, insider trading and disclosure issues. He has successfully defended clients in investigations by the SEC, PCAOB, FINRA, state securities regulators, securities exchanges, self-regulatory organizations, the U.S. Department of Justice, state attorneys general, and foreign criminal and civil regulatory agencies.

Clients also turn to Kurt to lead internal investigations. He has extensive experience designing and executing practical, risk-based internal investigations and helps clients remediate current issues, mitigate future issues, and navigate related government investigations. Kurt also advises clients on regulatory compliance issues, including broker-dealer, FCPA, insider trading, investment advisor, cybersecurity and incident response, and whistleblower concerns.

Kurt often publishes and speaks on regulatory enforcement and compliance topics, such as SEC enforcement priorities and tactics, anti-bribery compliance and enforcement, and whistleblower programs.

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When: Wednesday, Oct. 23, 2019
7:00 am - 8:00 am: Breakfast & Registration
8:00 am - 8:10 am: Welcome Remarks and Introductions
8:10 am - 8:40 am: Keynote by SEC Chairman Jay Clayton
8:40 am - 5:00 pm Panel Discussions (followed by cocktail party)
Where: Mayflower Hotel
1127 Connecticut Ave, NW
Washington, D.C. 20036
CLE Credit: 6.0 hours (approved in PA)

CLE Information and Forms

SEF2014 CLE -sm6.0 hours CLE credit approved in PA. Forms available here.


Links to materials available here.

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