Financial Institution D&O Litigation: Parallel Proceedings

Representing D&Os Faced with Multiple Agency Proceedings, Private Civil Litigation, and Criminal Actions

Recording of a 90-minute premium CLE webinar with Q&A

Conducted on Wednesday, June 12, 2013

Recorded event now available

or call 1-800-926-7926
Course Materials

This CLE course will provide counsel representing officers and directors of financial institutions with best practices for defending clients facing parallel investigations and civil or criminal litigation.


Since Dodd-Frank and heightened scrutiny on the financial industry, directors and officers of financial institutions are at increased risk for parallel regulatory enforcement actions. They may face related proceedings by government agencies as well as private shareholder and investor litigation.

Parallel proceedings facing D&Os include securities fraud investigations and class action suits or even criminal proceedings; FDIC breach of fiduciary duty litigation and shareholder litigation; LIBOR investigations and investor litigation; and mortgage irregularity investigations and investor litigation.

Discovery and settlements in one venue often impact an agency’s decision to sue or institute a regulatory investigation. With parallel civil and criminal proceedings, counsel must navigate 5th Amendment rights against self-incrimination, limits on attorney-client privilege, and stays of civil proceedings.

Listen as our authoritative panel of litigators discusses best practices for representing executives of financial institutions faced with parallel regulatory, civil or criminal proceedings.



  1. Current landscape—most common enforcement actions and litigation facing D&Os
  2. Coordination between governmental agencies and impact of one proceeding on simultaneous or subsequent proceedings
  3. Navigating multiple civil actions/investigations
  4. Navigating criminal and civil actions (5th Amendment rights, attorney-client privilege issues and stays of civil proceedings)


The panel will review these and other key questions:

  • What D&O liability issues are most commonly seen in complex parallel proceedings?
  • What impact may current FDIC litigation against directors and officers of failing banks have on SEC and DOJ decisions to institute proceedings?
  • What unique legal issues will counsel face in representing D&Os in parallel civil and criminal proceedings?

Following the speaker presentations, you'll have an opportunity to get answers to your specific questions during the interactive Q&A.


Todd R. Harrison
Todd R. Harrison

Patton Boggs

He concentrates in white-collar criminal defense, internal investigations, compliance matters and complex civil...  |  Read More

Jonathan S. Feld
Jonathan S. Feld

Dykema Gossett

He focuses on complex civil and criminal matters, including antitrust, financial and anti-bribery actions. He has...  |  Read More

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