MIAMI – July 13, 2021 – Alan Annex, Elaine Greenberg, Elizabeth Moum, and Daniel Tyukody, shareholders of global law firm Greenberg Traurig, LLP, will speak at the Securities Industry and Financial Markets Association’s (SIFMA) Compliance & Legal (C&L) Annual Seminar taking place July 20 – 22. Greenberg Traurig is also a sponsor of the event.
This year’s virtual forum will offer a comprehensive review of the most critical compliance and legal issues facing today’s financial services industry. For three days, the C&L community will gather online via live sessions, digital learning labs, and lunch & learns to discuss key industry trends and share challenges and emerging trends.
On July 20 from 1:00 p.m. – 2:00 p.m. EDT, Annex, Greenberg, and Tyukody will lead the Lunch & Learn session, “Navigating the SPAC Formation and De-SPAC Transaction Litigation and Enforcement Landscape.” This session will discuss the SPAC creation process, the de-SPAC transaction, securities fraud lawsuits, and SEC enforcement activity that have risen alongside the recent exponential growth of Special Purpose Acquisition Companies (SPACs) which have overtaken traditional initial public offerings (IPOs) as a means of moving companies from private to public ownership.
Annex is co-chair of Greenberg Traurig’s Global Corporate Practice, where he has led numerous multi-disciplinary teams of 20+ attorneys assisting clients involved in more than $63 billion in SPAC transactions, both nationally and internationally. These transactions include both IPOs and business combinations.
“I am looking forward to being part of a much-needed discussion and exchange of ideas and solutions on the significant use of SPAC transactions and the parallel increase in lawsuits charging securities fraud in connection with either the SPAC formation or the de-SPAC transaction,” Annex said. “Greenberg Traurig is proud to continue our support of SIFMA and participate in the C&L seminar, which is viewed as the leading educational program within the compliance and regulatory sector of the securities industry.”
Greenberg is a shareholder in the Securities Litigation Practice with over 30 years of securities law experience, including a 25-year tenure at the SEC during which time she served as a senior officer in the Division of Enforcement. Her practice focuses on SEC, FINRA, DOJ, State Attorneys General and other securities and regulatory matters, examinations, investigations, enforcement actions, and litigation; white collar defense and corporate investigations; and public finance. She has represented and advised major financial institutions, banks, underwriters, broker-dealers, investment advisers, issuers of securities including public companies and their officers and directors, and state and local governmental entities and their officials, municipal advisors and other organizations and individuals. Greenberg possesses deep institutional knowledge of SEC policies, practices and procedures.
Tyukody is co-chair of the firm’s Securities Class Action Practice. He focuses his practice on securities litigation and regulatory enforcement and is one of the few lawyers in the United States who has tried a securities class action to a defense verdict. Tyukody brings over 30 years’ experience defending issuers, officers and directors, and underwriters in securities class actions, derivative cases, M&A cases and SEC/DOJ proceedings. He also counsels audit committees and special committees in conducting internal investigations.
On July 22 from 12:35 p.m. - 1:35 p.m. EDT, Moum will speak as a panelist at the session, "Litigation, Investigation and Enforcement in the Virtual Environment: Evolving Practices and Lessons Learned." The panel will explore the insight litigators have gained over the last year of often conducting key components of the litigation and investigation process virtually through Zoom and other video technologies as a result of the COVID-19 pandemic. The panel will also discuss successfully conducting remote and hybrid investigations, virtually maximizing cooperation and regulatory good will, data and document collection as employees continue to work from home, and traps to avoid during remote proceedings.
“The COVID-19 pandemic caused litigators to modify how we conduct fact investigation, document collection, and hearing and trial preparation, and how we communicate and build relationships with our clients, opposing counsel, and the forums in which we practice,” Moum said. “I am very pleased to have the opportunity to share with my colleagues in the financial services industry how the Greenberg Traurig team has effectively used technology to continue practicing law and share the lessons we have learned along the way.”
Moum, who is a member of the firm’s Securities Litigation Practice, represents major broker-dealers and registered representatives in customer litigations and employment disputes in arbitration and court and in regulatory proceedings before FINRA, the SEC, and state securities commissions. Moum also has experience conducting internal investigations concerning violations of securities regulations, law, and company policy.
About Greenberg Traurig: Greenberg Traurig, LLP (GT) has approximately 2200 attorneys in 40 locations in the United States, Latin America, Europe, Asia, and the Middle East. GT has been recognized for its philanthropic giving, diversity, and innovation, and is consistently among the largest firms in the U.S. on the Law360 400 and among the Top 20 on the Am Law Global 100. The firm is net carbon neutral with respect to its office energy usage and Mansfield Rule 3.0 Certified. Web: www.gtlaw.com