On-Demand   On-Demand Web Programs

White Collar Crime 2013: Prosecutors and Regulators Speak

Released on: Oct. 15, 2013
Running Time: 06:21:54

Running Time Segment Title Faculty Format
[01:12:39] Review of Significant Cases and Recent Developments Marshall L. Miller ~ Acting Principal Deputy Assistant Attorney General & Chief of Staff, Criminal Division, U.S. Department of Justice
Lorin L. Reisner ~ Chief, Criminal Division, United States Attorney's Office, Southern District of New York
Andrew M. Calamari ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Susan E. Brune ~ Brune & Richard LLP
On-Demand MP3 MP4
[01:15:47] Insider Trading David M. Rody ~ Sidley Austin LLP
Reed M. Brodsky ~ Gibson, Dunn & Crutcher LLP
Anjan Sahni ~ Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
Robert H. Hotz, Jr. ~ Akin Gump Strauss Hauer & Feld LLP
Michael Neus ~ Perry Capital, L.L.C.
On-Demand MP3 MP4
[01:14:56] Securities Enforcement Beyond the Financial Crisis Polly Greenberg ~ Chief, Major Economic Crimes Bureau, New York County District Attorney's Office
Janet A. Broeckel ~ Managing Director and Associate General Counsel, Goldman, Sachs & Co.
Valerie A. Szczepanik ~ Assistant Director, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Jodi Misher Peikin ~ Morvillo Abramowitz Grand Iason & Anello P.C.
David B. Anders ~ Wachtell, Lipton, Rosen & Katz
Marc P. Berger ~ Co-Chief, Securities & Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
On-Demand MP3 MP4
[00:56:13] Public Corruption Benjamin Brafman ~ Brafman & Associates, P.C.
Richard B. Zabel ~ Deputy United Sates Attorney, United States Attorney's Office, Southern District of New York
Hon. Richard J. Sullivan ~ United States District Judge, United States District Court, Southern District of New York
Joshua G. Berman ~ Co-Chair, National White Collar Practice, Katten Muchin Rosenman LLP
Christina B. Dugger ~ First Assistant United States Attorney, United States Attorney's Office, Eastern District of New York
On-Demand MP3 MP4
[01:14:49] Case Study: Investigations of Libor and Benchmark Interest Rates Andrew J. Levander ~ Dechert LLP
John K. Carroll ~ Skadden, Arps, Slate, Meagher & Flom LLP
Steven R. Peikin ~ Sullivan & Cromwell LLP
James J. Benjamin, Jr. ~ Akin Gump Strauss Hauer & Feld LLP
On-Demand MP3 MP4

Across a broad range of businesses – including most prominently the financial sector – the Department of Justice, the SEC, and other prosecutors and regulators are cracking down with an enforcement program of unprecedented vigor and breadth.  Advancing novel and creative theories, and exacting increasingly draconian penalties, the government has demonstrated, repeatedly and emphatically, that it is committed to aggressive enforcement.  “Headline” cases over the past year include Libor, insider trading, financial crisis offenses, and a series of high-profile public corruption prosecutions featuring colorful allegations and unconventional investigative techniques such as informants and surreptitious recordings.

This unique and vibrant program, now in its sixth year, will give you the background and tools necessary to deal with white collar cases and civil enforcement actions, and to design and implement effective compliance and risk management strategies.  You will hear directly from current and former high-level officials in many of the country’s top enforcement agencies – including the U.S. Attorney’s Offices for the Southern and Eastern Districts of New York, the Department of Justice Fraud Section, the U.S. Securities and Exchange Commission, the U.S. Commodity Futures Trading Commission – as well as federal judges and leading defense practitioners about the current and future priorities for the government and the practical implications for your company or clients.

Lecture Topics  [Total time 06:21:54]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Introduction* [00:03:39]
    James J. Benjamin, Jr., Steven R. Peikin
  • Keynote Address* [00:23:51]
    Andrew J. Ceresney
  • Review of Significant Cases and Recent Developments [01:12:39]
    Susan E. Brune, Andrew M. Calamari, Marshall L. Miller, Lorin L. Reisner
  • Insider Trading [01:15:47]
    Robert H. Hotz, Jr., Reed M. Brodsky, Michael Neus, David M. Rody, Anjan Sahni
  • Securities Enforcement Beyond the Financial Crisis [01:14:56]
    Jodi Misher Peikin, David B. Anders, Marc P. Berger, Janet A. Broeckel, Valerie A. Szczepanik, Polly Greenberg
  • Public Corruption [00:56:13]
    Joshua G. Berman, Benjamin Brafman, Christina B. Dugger, Hon. Richard J. Sullivan, Richard B. Zabel
  • Case Study: Investigations of Libor and Benchmark Interest Rates [01:14:49]
    John K. Carroll, Andrew J. Levander, Steven R. Peikin, James J. Benjamin, Jr.

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • United States v. Gupta, et al., No. 11 Cr. 907 (S.D.N.Y. Mar. 26, 2012)
    Jodi Misher Peikin
  • United States v. Goffer, et al., No. 11-3591-cr (2d Cir. July 1, 2013)
    Jodi Misher Peikin
  • United States v. HSBC Bank USA, et al., No. 12-Cr-763 (E.D.N.Y. July 1, 2013)
    Jodi Misher Peikin
  • SEC v. OBUS and the Evolving Law of Tippee Liability in Insider Trading Cases
    Robert H. Hotz, Jr.
  • Handling a Regulatory Investigation in Light of the SEC’s Cooperation Guidelines
    David B. Anders
  • U.S. Securities and Exchange Commission, Fiscal Year 2012 Agency Financial Report, pp. 12–18 (Excerpt from FY 2012 Year in Review), 125–144 (Appendix B: Major Enforcement Cases)
    Jodi Misher Peikin
  • U.S. Securities and Exchange Commission, SEC Enforcement Actions: Addressing Misconduct that Led to or Arose from the Financial Crisis, Available at http://www.sec.gov/spotlight/enf-actions-fc.shtml
    Jodi Misher Peikin
  • U.S. Securities and Exchange Commission, SEC Enforcement Actions: FCPA Cases, Available at http://www.sec.gov/spotlight/fcpa/fcpa-cases.shtml
    Jodi Misher Peikin
  • U.S. Securities and Exchange Commission, Division of Enforcement, Enforcement Manual, § 6 (Fostering Cooperation), Nov. 1, 2012
    Jodi Misher Peikin
  • Testimony of Robert Khuzami, Director, Division of Enforcement, U.S. Securities and Exchange Commission, “Examining the Settlement Practices of U.S. Financial Regulators,” May 17, 2012
    Jodi Misher Peikin
  • United States v. Rajaratnam, et al., No. 09 Cr. 1184 (S.D.N.Y. Aug. 12, 2010)
    Jodi Misher Peikin
  • SEC v. Rajaratnam, et al., No. 10-462-cv (2d Cir. Sept. 29, 2010)
    Jodi Misher Peikin
  • United States v. Rajaratnam, et al., No. 09 Cr. 1184 (S.D.N.Y. Nov. 24, 2010)
    Jodi Misher Peikin
  • United States v. Rajaratnam, No. 11-4416-cr (2d Cir. June 24, 2013)
    Jodi Misher Peikin
  • U.S. Securities and Exchange Commission, Annual Report on the Dodd-Frank Whistleblower Program, Fiscal Year 2012, November 2012
    Jodi Misher Peikin
  • United States v. Annabi, et al., No. S1 10 Cr. 007 (S.D.N.Y. May 17, 2011), Indictment
    Joshua G. Berman
  • Former Yonkers City Councilwoman Sandy Annabi and Former Republican Chairman Zehy Jereis Sentenced to Six and Four Years in Prison for Corruption Crimes, U.S. Attorney’s Office, S.D.N.Y. Press Release, November 19, 2012
    Joshua G. Berman
  • United States v. PAN, No. 11 MAG 2922 (S.D.N.Y. November 15, 2011), Sealed Complaint
    Joshua G. Berman
  • United States v. HOU, No. 12 MAG 539 (S.D.N.Y. February 28, 2012), Complaint
    Joshua G. Berman
  • United States v. PAN, et al., No. S1 12 Cr. 153 (S.D.N.Y. April 26, 2012), Superseding Indictment
    Joshua G. Berman
  • Former Campaign Treasurer and Fundraiser Found Guilty in Manhattan Federal Court of Campaign Finance Fraud, U.S. Attorney’s Office, S.D.N.Y. Press Release, May 2, 2013
    Joshua G. Berman
  • Science Applications International Corporation—Deferred Prosecution Agreement, March 8, 2012
    Joshua G. Berman
  • United States v. Smith, et al., No. 13 MAG 852 (S.D.N.Y. March 29, 2013), Sealed Complaint
    Joshua G. Berman
  • Manhattan U.S. Attorney and FBI Assistant Director-In-Charge Announce Federal Corruption Charges Against New York State Senator Malcolm Smith and New York City Council Member Daniel Halloran, U.S. Attorney’s Office, S.D.N.Y. Press Release, April 2, 2013
  • United States v. Smith, et al., NO. 13 Cr. 297 (S.D.N.Y. April 18, 2013), Indictment
    Joshua G. Berman
  • United States v. Stevenson, et al., No. 13 MAG 00873 (S.D.N.Y. April 2, 2013), Sealed Complaint
    Joshua G. Berman
  • Manhattan U.S. Attorney Announces Bribery Charges Against New York State Assemblyman ERIC Stevenson in Connection with Alleged Scheme to Sell Legislation for Cash, U.S. Attorney’s Office, S.D.N.Y. Press Release, April 4, 2013
    Joshua G. Berman
  • United States v. Stevenson, et al., S1 13 Cr. 161 (S.D.N.Y. May 2, 2013), Indictment
    Joshua G. Berman
  • Libor Investigations 2005–2013
    John K. Carroll
Co-Chair(s)
James J. Benjamin, Jr. ~ Akin Gump Strauss Hauer & Feld LLP
Steven R. Peikin ~ Sullivan & Cromwell LLP
Speaker(s)
David B. Anders ~ Wachtell, Lipton, Rosen & Katz
Marc P. Berger ~ Co-Chief, Securities & Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
Joshua G. Berman ~ Co-Chair, National White Collar Practice, Katten Muchin Rosenman LLP
Benjamin Brafman ~ Brafman & Associates, P.C.
Reed M. Brodsky ~ Gibson, Dunn & Crutcher LLP
Janet A. Broeckel ~ Managing Director and Associate General Counsel, Goldman, Sachs & Co.
Susan E. Brune ~ Brune & Richard LLP
Andrew M. Calamari ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
John K. Carroll ~ Skadden, Arps, Slate, Meagher & Flom LLP
Andrew J. Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Christina B. Dugger ~ First Assistant United States Attorney, United States Attorney's Office, Eastern District of New York
Polly Greenberg ~ Chief, Major Economic Crimes Bureau, New York County District Attorney's Office
Robert H. Hotz, Jr. ~ Akin Gump Strauss Hauer & Feld LLP
Andrew J. Levander ~ Dechert LLP
Marshall L. Miller ~ Acting Principal Deputy Assistant Attorney General & Chief of Staff, Criminal Division, U.S. Department of Justice
Michael Neus ~ Perry Capital, L.L.C.
Jodi Misher Peikin ~ Morvillo Abramowitz Grand Iason & Anello P.C.
Lorin L. Reisner ~ Chief, Criminal Division, United States Attorney's Office, Southern District of New York
David M. Rody ~ Sidley Austin LLP
Anjan Sahni ~ Chief, Securities and Commodities Fraud Task Force, United States Attorney's Office, Southern District of New York
Hon. Richard J. Sullivan ~ United States District Judge, United States District Court, Southern District of New York
Valerie A. Szczepanik ~ Assistant Director, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Richard B. Zabel ~ Deputy United Sates Attorney, United States Attorney's Office, Southern District of New York

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Related Items

Live Seminars  Live Seminars

White Collar Crime 2014: Prosecutors and Regulators Speak (New York, NY) Sep. 23, 2014

Handbook  Course Handbook Archive

White Collar Crime 2014: Prosecutors and Regulators Speak  
White Collar Crime 2013: Prosecutors and Regulators Speak Steven R. Peikin, Sullivan & Cromwell LLP
James J. Benjamin, Akin Gump Strauss Hauer & Feld LLP
 
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