READING, PA, May 7, 2019 – William P. Thornton, Jr., and Julie E. Ravis of Stevens & Lee presented at the 11th Annual In-House Counsel Conference hosted by the Greater Philadelphia Chapter of the Association of Corporate Counsel in Philadelphia, PA, on April 24, 2019.
Mr. Thornton and Ms. Ravis were joined by Marie Elena Ness, Chief Compliance Officer of Haverford Trust, in presenting “SEC Subpoenas, Inquiries, Formal Investigations and Enforcement Actions.” The speakers covered best practices in representing public companies, financial services firms and registered individuals in connection with all manner of SEC inquiries, investigations and enforcement actions. The presentation included discussion regarding responding to SEC subpoenas, informal requests for information and requests for testimony, and also reviewed the role of the SEC and its mission to protect investors, provide for efficient markets and facilitate capital formation.
Mr. Thornton is a Shareholder and Co-Chair of Stevens & Lee’s Litigation Department, and chairs the firm’s securities litigation practice. He represents Fortune 100 companies, broker-dealers, RIAs, life insurers and financial professionals nationwide in all manner of claims related to the purchase and sale of securities and life insurance products. Mr. Thornton holds a Series 7 license from FINRA and has a J.D. from the Villanova University School of Law and a B.A. from Dickinson College.
Ms. Ravis is a Shareholder in the Litigation Department and member of the firm’s electronic discovery team. She concentrates in complex commercial litigation with a particular focus on litigation involving financial products and services. Her experience includes state and federal court litigation, FINRA arbitrations and regulatory investigations involving the SEC, FINRA and state agencies. She also represents clients in a variety of commercial disputes at the trial and appellate levels. Ms. Ravis holds a J.D., cum laude, from the University of Notre Dame Law School and a BBA in Finance from the University of Notre Dame.
