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Trading & Markets – The Regulation of U.S. Stock Exchanges

Speaker(s): Chris Ekimoff, J.W. Verret, Kurt E. Wolfe, Tyler Gellasch
Recorded on: Sep. 15, 2020
PLI Program #: 310790

Associate Professor J.W. Verret joined the law faculty in 2008 and teaches Banking, Securities and Corporation Law as well as Accounting for Lawyers. 

He has also been a Visiting Professor at Stanford Law School.  His work teaching CLEs on law and accounting at law firms around the country was profiled by Above the Law.

He frequently serves as an expert witness in securities, corporate and commercial litigation and arbitration proceedings.  A few representative engagements include New Jersey v. Sprint, 758 F.Supp.2d 1186 (2010) and Landsdowne v. OpenBand, 713 F.3d 187 (2013)

He serves on the Investor Advisory Committee of the Securities and Exchange Commission, where he advises the Chairman of the SEC on legal and policy reform.  He is faculty liaison to the American College of Business Court Judges. He also serves as Independent Chairman of the Board of Directors of Egan-Jones Ratings, one of the eight domestic credit rating firms licensed by the SEC to provide credit ratings on the debt of public companies and provides recommendations on shareholder proxy votes.

He has served as Chief Economist and Senior Counsel to the U.S. House Committee on Financial Services.  He previously clerked on the Delaware Court of Chancery.  He received his JD from Harvard Law School, a Masters in Public Policy from the Harvard Kennedy School, and a BS in Financial Accounting from LSU.

His work as appeared in venues from the Stanford Law Review and the Journal of Law and Economics to the Wall Street Journal and New York Times.  He has appeared on most major television networks on financial regulatory issues and has testified before the U.S. House and Senate over a dozen times.

Tyler Gellasch is the Executive Director of the Healthy Markets Association, where he oversees all aspects of the organization. Healthy Markets is an investor-oriented trade group focused on ensuring investors have the information and rights they need to promote healthy capital markets. Prior to launching Healthy Markets in 2015, Gellasch worked in public service as Counsel in the US Senate, as well as Counsel to then-new SEC Commissioner Kara M. Stein. Prior to that, Gellasch began his career as an associate at Mayer Brown LLP and Morgan, Lewis & Bockius, LLP. Gellasch is also a Founder of Myrtle Makena, LLC, a capital markets and economic policy consulting firm. Gellasch received his undergraduate degree from Case Western Reserve University. Both his juris doctor and master's degree in economics were awarded by Duke University.

Clients call on Kurt when facing complex internal investigations and government enforcement inquiries. Kurt is a member of Troutman Pepper's Government Investigations, Compliance and Enforcement practice and represents public companies, financial institutions, asset management firms, and individuals in internal investigations and government enforcement inquiries. He is experienced in securities regulatory matters and has represented clients in a wide range of investigations and enforcement proceedings, including matters involving securities fraud, accounting fraud, FCPA violations, insider trading and disclosure issues.

When the numbers don't add up or financial litigation is on the horizon, Chris brings the insight his clients need to balance the books. Chris is a Director at RSM US LLP and leads the Financial Investigations & Dispute Services ("FIDS") practice for the Southeast Region. He has provided litigation consulting and forensic accounting services — including as an expert witness —in internal investigations, and regarding financial reporting questions, allegations of accounting and auditing malpractice, and other complex financial and accounting issues. As a CPA/CFF and Certified Fraud Examiner, Chris has experience in investigating both the fraud in the financials, and the people who are alleged to have committed it.