Securities Fraud 2010:
The "New Deal" at the SEC, Insider Trading, and a White Collar Trial
Click here for a printable registration form
Click here to register online
Tuesday, April 6, 2010
4:00 p.m. - 7:00 p.m.
Sponsored by: The Criminal Law Section and the Securities Law Committee of the Business Law Section
Attend this annual program to stay current with the issues and hot topics of the SEC. Three distinct panels will cover various topics such as “Securities Fraud Enforcement--the New Deal,” “Insider Trading Enforcement in the Post-Galleon Era,” and “Lessons from Trial: United States v. Robert Therrien.”
Specific topics will include:
- New initiatives at the SEC under the new Director of Enforcement
- Perspective from the chief of the Economic Crimes Unit on what lies ahead for the working relationship with the SEC in Boston
- Ramifications of the SEC's new policy designed to create incentives for individuals to cooperate in SEC investigations
- The evolving nature of parallel prosecutions and the effect on individual defendants
- Recent cases that are refining the elements of insider trading violations
- FINRA's office of fraud detection and market surveillance and its role in insider trading enforcement
- How emails, IMs and chat rooms have altered the prosecution and defense of insider trading cases
- The manner in which expert testimony can swing the balance in insider trading cases
- Key issues in trying United States v. Robert Therrien in the shadow of a pending SEC civil case
- The interplay between the civil and criminal cases from the perspectives of the government, defendant and a third-party
- Issues arising in criminal discovery, including discovery from a third party
- Privilege issues concerning an internal investigation relevant to a securities matter
- Discovery and admissibility of emails as substantive evidence
- The theory of the prosecution and defense
Panel 1: Securities Fraud Enforcement – the New Deal
Moderator:
Jonathan L. Kotlier, Esq.
Nutter, McClennen & Fish LLP
Panelists:
David S. Bergers, Esq.
Director, Boston Regional Office of U.S. Securities and Exchange Commission
Jack W. Pirozzolo, Esq.
First Assistant U.S. Attorney
District of Massachusetts
The United States Attorney's Office
Jordan A. Thomas, Esq.
Assisstant Chief Litigation Counsel
U.S. Securities and Exchange Commission, Washington D.C.
Stephen G. Huggard, Esq.
Edwards Angell Palmer & Dodge LLP
John J. Falvey, Jr., Esq.
Goodwin Procter LLP
Panel II: Insider Trading Enforcement in the Post-Galleon Era – Changes to Think About
Moderator:
Michele L. Adelman, Esq.
Foley Hoag LLP
Panelists:
Maureen M. Chakraborty
Managing Principal, Analysis Group
Julie M. Riewe, Esq.
Assistant Director
U.S. Securities and Exchange Commission, Division of Enforcement
Ian D. Roffman, Esq.
Nutter, McClennen & Fish LLP
John Reed Stark, Esq.
Managing Director, Stroz Friedberg LLC
Panel 3: Lessons from Trial – United States v. Robert Therrien
Moderator:
Michael D. Ricciuti, Esq.
K&L Gates LLP
Panelists:
Paul G. Levenson, Esq.
Chief, Economic Crimes Unit
The United States Attorney's Office
Tracy A. Miner, Esq.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
John F. Sylvia, Esq.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
Joshua S. Levy, Esq.
Ropes & Gray LLP
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