New Laws Impacting the Financial Industry
Join Sam Edgerton and Ted Peters, Partners with O’Hagan Meyer, as they discuss recent 2nd Circuit Court decision declining to invalidate SEC Reg BI. They will also take a look at the recent Supreme Court decision in Liu v. SEC regarding SEC’s disgorgement powers and limitations of same, and the DOL’s new proposed fiduciary PTE.
Sam Edgerton is a partner of O’Hagan Meyer in its Los Angeles and Orange County offices. He is the Co-Chair of the firm’s Financial Services and Securities Group. Sam is a trial attorney with extensive litigation experience in federal and state federal courts, as well as FINRA arbitration matters. A former prosecutor, Sam has extensive experience in white collar defense in government cases, both civil and criminal, where he represents officers and directors of public and private companies. He also represents a myriad of licensed professionals such as financial planners, insurance agents, accounting professionals and lawyers.
Earlier in his career, Sam worked as a federal prosecutor both with the Office of Enforcement of the U.S. Securities and Exchange Commission in Los Angeles and as a Special Assistant United States Attorney in Los Angeles (Criminal Division). Outside of his law practice, Sam previously served as Mayor and Councilman of Hermosa Beach, having been elected by popular vote in 1991, 1995, 1999 and 2003.
Sam is a member of the State Bars of California, New York, Massachusetts and the District of Columbia. He is also admitted to practice before the Supreme Court of the United States of America.
Ted Peters is a Partner in O’Hagan & Meyer’s Hermosa Beach office. He has over 25 years of experience in litigating complex business and financial disputes through mediation, jury and bench trials, arbitration and appeals, and he has successfully defended numerous multi-million-dollar claims.
Ted litigates nationwide, and he is a member of the state bar associations of California, New York, Oregon, Washington, Arizona, Idaho and Missouri. He is highly experienced in multi-party and class claims. He was appointed by the Idaho Attorney General to serve as Special Deputy Attorney General in select litigation cases.
Ted focuses particularly on financial and professional services, representing securities institutions, financial service providers and their representatives and agents in contested matters before state and federal courts and arbitrations governed by FINRA, the SEC and state regulators. As a former securities registered representative, Ted has a comprehensive understanding of the securities industry which he draws upon in his broker-dealer, registered representative and investment advisor defense practice.
Ted received his undergraduate degree in philosophy and theology from George Fox University in Oregon, summa cum laude. He then received his Juris Doctor degree from the Northwestern School of Law at Lewis and Clark College, magna cum laude, where he was an Associate Editor, Law Review (Environmental Law) and participated on the National Moot Court team.