Double Trouble (or More): Effectively Navigating Parallel Investigations
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Availability
Registration Required
Online Meeting
Jan 01, 2026 9:00 AM - 4:00 PM CT
Cost
$0.00
Credit Offered
1 CE Credit
Market participants subject to enforcement investigations by the CFTC are increasingly having to deal not only with a single investigation, but also parallel investigations by the Department of Justice, non-U.S. regulators (such as in the UK, Asia, and Middle East), and sometimes the financial exchanges and other SROs. Parallel investigations present unique challenges for the target or subject, including in dealing with timing, production of information, testimony, whistleblowers, presentations, and potential resolutions – whether in the areas of market manipulation and other disruptive trading, anti-corruption, sanctions, or others. This is made all the more complicated when dealing with cross-border investigations. The team from Morgan Lewis—including a former chief of the Fraud Section and a leader of the Market Integrity & Major Frauds Unit—will address these challenges as evidenced in recent enforcement actions, and provide useful insights into approaches for navigating parallel investigations, in the U.S. and cross-border, to minimize risk and maximize the prospects for success.

Host: Michael Sorrell, Deputy General Counsel, FIA

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Stacie Hartman, Partner, Morgan, Lewis & Bockius

Stacie R. Hartman co-chairs Steptoe & Johnson LLP’s Financial Services Group, which comprises more than 65 lawyers across nine offices around the world. An accomplished enforcement lawyer and first-chair trial lawyer and litigator, she leads cases in courts around the country and in enforcement proceedings before the Commodity Futures Trading Commission, Securities and Exchange Commission, Financial Industry Regulatory Authority, National Futures Association, and financial exchanges, and in financial-market investigations by the Justice Department. Hartman’s cases have involved allegations of market manipulation, spoofing, self-trading, disruptive trading practices, and false statements, among others.

Justin Weitz, Partner, Morgan, Lewis & Bockius

Associate attorney Justin Weitz adds to the power and prestige of our Asbestos Litigation group with his unceasing, undaunted determination to see callous wrongdoers brought before the bar of justice. Many of the legal skills Mr. Weitz so adroitly brings to bear against those who injure our clients were acquired during his years as an assistant district-attorney in Nassau County, New York. During his time in that role, he prosecuted hundreds of felony and misdemeanor cases (work performed by Mr. Weitz included the negotiation of plea deals with lawbreakers accused of acts ranging, variously, from theft to attempted murder; he also frequently took cases all the way through to verdict in jury as well as bench trials, formulated arrest- and search-warrants based on his investigations of crime scenes, and worked closely with grand juries to obtain indictments of targets suspected of systematic illegal conduct.

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