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State Regulators Also Use Receivers: When, Why and How
Tuesday October 29, 2024 8:15am - 9:15am PDT
Bacara Ballroom BC
This session will discuss the use of receivers in enforcement actions brought by state regulators. The panel will highlight the various state laws they regulate, where the receivership remedy is used, as well as other agencies in their state that also use receiverships. They will discuss coordination with the CFTC, SEC and FTC, other state regulators, as well as criminal authorities. They will explain when and why they may use lesser remedies; what they look for in deciding who to nominate as receiver; and any special state laws that vest receivers with special powers and rights, regulate reporting requirements and how receivers get paid, among other issues particular to state enforcement receiverships.
Producer
avatar for Stephen P. Donell

Stephen P. Donell

President, FedReceiver, Inc.
Stephen J. Donell, CPM®, ARM®, CCIM is President of Jalmar Properties. Inc., FedReceiver, Inc., and Donell Expert Services, Inc. Mr. Donell has administered and/or been appointed by courts in over 900 cases. Mr. Donell has decades of experience in receivership matters involving... Read More →
Speakers
avatar for Jeffrey A.

Jeffrey A. "Beau" Brown, Jr.

General Counsel / Deputy Attorney General, Alabama Securities Commission
Beau Brown is the General Counsel of the Alabama Securities Commission (“Commission”) in Montgomery, AL, where he manages a complex civil and criminal caseload and represents the Commission’s interests at the State Legislature on issues that affect policy and legislation. In... Read More →
avatar for JonMarc P. Buffa

JonMarc P. Buffa

Assistant Chief, Cooperative Enforcement, Commodity Futures Trading Commission
JonMarc Buffa is the Counsel to the Director of Enforcement for Cooperative Enforcement at the U.S. Commodity Futures Trading Commission where he advises the Director and serves as the Enforcement Division’s point person to the CFTC’s civil and criminal partners at the federal... Read More →
avatar for Peter A. Davidson

Peter A. Davidson

Senior Partner, Ervin, Cohen & Jessup LLP
Peter A. Davidson is a Senior Partner in Ervin Cohen & Jessup, LLP’s Bankruptcy, Receivership and Creditors’ Rights Department. Since 1977 Peter has represented receivers, plaintiffs and defendants in receivership actions in state and federal court and trustees, creditors’ committees... Read More →
avatar for Mary Ann Smith

Mary Ann Smith

Deputy Commissioner, California Department of Financial Protection and Innovation
Leading a team of attorneys, examiners, and investigators, Ms. Smith defends the rights of Californians through the investigation and prosecution of violations of state laws and regulations. Some of her biggest wins include multimillion-dollar civil judgments for securities fraud... Read More →
Tuesday October 29, 2024 8:15am - 9:15am PDT
Bacara Ballroom BC
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