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Ethics in Banking and Financial Services 2013

Released on: Aug. 22, 2013
Running Time: 02:46:42

Lecture Topics  [Total time 02:46:42]

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

  • Ethics in Banking and Financial Services 2013 [02:46:30]
    C. Evan Stewart, Michael J. Dell, Professor Samuel Issacharoff, Brent J. McIntosh, Jessie K. Liu

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

  • New York Rules of Professional Conduct (Effective April 1, 2009; As Amended May 4, 2010)
  • Do’s and Don’ts of Ethics Research
    Jeremy R. Feinberg, Katie M. Lachter
  • Lateral Attorney Movement: Pre-Departure and Recruitment (May 7, 2012)
    Anthony E. Davis, Katie M. Lachter
  • Do’s and Don’ts of Lateral Attorney Movement: Managing the Risks (March 5, 2012)
    Anthony E. Davis, Katie M. Lachter
  • Civility: The Ultimate Legal Weapon?
    Katie M. Lachter
  • Mad Dogs and Englishmen (2013)
    C. Evan Stewart
  • Ohio Takes a Bite Out of the Big Apple (September 7, 2012)
    C. Evan Stewart
  • Good Golly Miss Molly!: The Attorney Work Product Doctrine Takes Another Hit (Winter 2012)
    C. Evan Stewart
  • A Tale of Two Judges (Summer 2012)
    C. Evan Stewart
  • Lawyers and the Border Patrol: The Challenges of Multi-Jurisdictional Practice (August 2011)
    C. Evan Stewart
  • Thus Spake Zarathustra (and Other Cautionary Tales for Lawyers) (January 2011)
    C. Evan Stewart
  • Caveat Corporate Litigator: The First Circuit Sets Back the Attorney Work Product Doctrine (Summer 2010)
    C. Evan Stewart
  • In-House Counsel As Whistleblower: A Rat With a Remedy? (August 21, 2008)
    C. Evan Stewart
  • The Legal Profession and Conflicts: Ain’t No Mountain High Enough? (Fall 2007)
    C. Evan Stewart
  • Representing Financial Institutions and Broker Dealers in Investigations and Civil Litigation: Recent Developments, Practical Issues and Potential Pitfalls
    Sharon L. Nelles
  • Ethical Considerations in the Representation of Multiple Clients (April 26, 2013)
    Michael J. Dell
  • New Challenges for the 21st Century Practitioner: Ethics and Technology (August 13, 2013)
    David A. Lewis
  • Ethics and Technology: New Challenges for the 21st Century Practitioner (August 13, 2013)
    James Q. Walker

Presentation Material

  • Litigation Developments
    Professor Samuel Issacharoff
  • Ethics in Banking 2013
    Jessie K. Liu
  • Representing Financial Institutions in Investigations and Civil Litigation
    Brent J. McIntosh
C. Evan Stewart ~ Cohen & Gresser LLP
Michael J. Dell ~ Kramer Levin Naftalis & Frankel LLP
Professor Samuel Issacharoff ~ Bonnie and Richard Reiss Professor of Constitutional Law, New York University School of Law
Jessie K. Liu ~ Jenner & Block LLP
Brent J. McIntosh ~ Sullivan & Cromwell LLP

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Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.

Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

*PLI will apply for credit upon request. Louisiana and New Hampshire: PLI will apply for credit upon request for audio-only on-demand web programs.

1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.


2Iowa:  The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

3Missouri:  On-demand web programs are restricted to six hours of self-study credit per year.  Self-study may not be used to satisfy the ethics requirements.  Self-study can not be used for carryover credit.


4New Hamphsire:  The approval is for three years from recorded date.

5New Mexico:  On-Demand web programs are restricted to 4.0 self-study credits per year. 

6New York:  Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats. 

7North Carolina:  A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs. 

8Ohio:  To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us.  Online programs are considered self-study.  Ohio attorneys have a 6 credit self-study limit per compliance period.  The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

9Oklahoma:  Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.

10Pennsylvania:  PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.

11Rhode Island:  Audio Only On-Demand Web Programs are not approved for credit.  On-Demand Web Programs must have an audio and video component.

12Tennessee:  The approval is for the calendar year in which the live program was presented.

13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

14Wisconsin: Ethics credit is not allowed.  The ethics portion of the program will be approved for general credit.  There is a 10 credit limit for on-demand web programs during every 2-year reporting period.  Does not approve of Audio-only On-Demand Webcasts.

Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.

If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.

Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, call Customer Service (800) 260-4PLI (4754) or e-mail info@pli.edu.

Related Items

Live Seminars  Live Seminars

Ethics in Banking and Financial Services 2014 (New York, NY) Aug. 7, 2014

On-Demand  On-Demand Programs

This Really Happened: A Review of Real World Ethical Issues 2013 Aug. 5, 2013

Handbook  Course Handbook Archive

PLI's Ethics Programs: Summer 2014 C. Evan Stewart,
Katie M. Lachter, Hinshaw & Culbertson LLP
Katie M. Lachter,
Nicole Hyland, Frankfurt Kurnit Klein & Selz PC
Theresa L. Concepcion, Hinshaw & Culbertson LLP
Cristina R. Yannucci, Lewis Brisbois Bisgaard & Smith LLP
Matthew R. Maron, Tannenbaum Helpern Syracuse & Hirschtritt LLP
PLI's Ethics Programs: Summer 2013 C. Evan Stewart, Zuckerman Spaeder LLP
David A. Lewis, Hinshaw & Culbertson LLP
David A. Lewis, Law Offices of Spar & Bernstein, P.C.
Katie M. Lachter, Hinshaw & Culbertson LLP
Steven C. Bennett, Park Jensen Bennett LLP
James Q. Walker, Richards Kibbe & Orbe LLP
Charles Star,
Rebecca L. Ambrose, Kasowitz Benson Torres & Friedman LLP
Meredith S. Heller, Law Offices of Meredith S. Heller, Esq.
Kenneth Citarella, Guidepost Solutions LLC
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