Date Submitted: Mon, 18 Feb 2019 22:03:57 GMT

LAW 960 v00 : SEC Enforcement Process

Last edit: Tue, 19 Feb 2019 18:55:08 GMT

Druthers submitted by: mbd28
Spring
LLM Adjunct
UserID Name Email
mbd28 Dorfman, Marc dorfmanm@pcaobus.org
msr4 Radke, Mark markradke@aol.com
LAW 960 v00: SEC Enforcement Process
SEC Enforcement Process
 
 
 
 
 
 
 
M 5:45-7:45p
 
37 (LAWG: 27/LAWJ: 10)
Take-Home Exam

 
LL.M
Yes
Course
2
 
 

Previous or concurrent registration in Securities Regulation is strongly recommended.

 
 
 
Would you like to offer the Pass/Fail grading option?
 

 
 
Does this course qualify as a "simulation course"?
 

Is this course available to distance students?
 
No
Is this a mandatory Pass-Fail course?
 

 

Personal Information

 
 
 
 
 

A.B., magna cum laude, Yale; J.D., cum laude, Harvard. Professor Dorfman is the Chief Hearing Officer of the Public Company Accounting Oversight Board in Washington, D.C. Previously, Professor Dorfman was a Partner in the Washington, D.C. office of Foley & Lardner LLP, where his practice centered on the defense of Securities and Exchange Commission and FINRA investigations and regulatory enforcement proceedings. From 1978 to 1981, Professor Dorfman was a Trial Attorney and Special Counsel with the SEC's Division of Enforcement, where he handled a wide variety of matters at the SEC, including investigations and enforcement actions concerning tender offers, insider trading, trading market practices, and financial accounting issues.

Key: 8091