Why you should attend
For more than a decade, white collar enforcement has been a top priority for the Justice Department, the SEC, and other prosecutors and regulators. The government has targeted a wide range of business organizations and, in recent years, has focused heavily on prosecutions of individuals. The focus on individuals has led inexorably to more trials, and the past year has seen some notable successes and failures for the government. In today’s world, white collar investigations often transcend international boundaries. In addition, Congress has given the government new statutory authority, including Dodd- Frank, the STOCK Act, and increased white collar penalties. Prosecutors continue to use aggressive investigative techniques such as wiretaps, search warrants, and confidential informants.
This unique and well-established program, now in its fifth 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 and the District of New Jersey, the Department of Justice Fraud Section, the U.S. Securities and Exchange Commission, the Manhattan District Attorney’s Office, and the U.K. Financial Services Authority - 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.
What you will learn
- Current enforcement priorities, including an assessment of trends and significant cases over the past year
- The reasons the government is attempting to hold individuals accountable, and how to deal with investigations focusing on individuals, as opposed to business organizations
- Takeaways and lessons learned from recent white collar trials
- The continuing expansion of cross border investigations - often in areas other than the FCPA
Who should attend
This program is designed for lawyers who defend and prosecute civil enforcement actions and white collar criminal cases, as well as in-house and outside corporate counsel, and internal auditors and compliance officers. Additionally, government attorneys, forensic accountants, and other experts and consultants who handle white collar internal investigations, civil enforcement actions and criminal prosecutions will find this program extremely valuable.
Morning Session: 9:00 a.m. - 12:00 p.m.
9:00 Introduction
James J. Benjamin, Jr., Steven R. Peikin
9:05 Keynote Address
Paul J. Fishman, United States Attorney, United States Attorney’s Office, District of New Jersey
9:30 Review of Significant Cases and Recent Developments
- What are the important developments over the past year in the area of white collar enforcement?
- What are the current priorities for prosecutors and regulators?
- How can defense counsel effectively represent their clients in the current environment?
Moderator: Susan E. Brune
Panelists: Daniel R. Alonso, Denis J. McInerney, Marshall L. Miller, Lorin L. Reisner
10:45 Networking Break
11:00 Securities Enforcement - Developments and Trends
- What are the key securities and commodities enforcement priorities being focused on by prosecutors and civil enforcement authorities?
- How have Dodd-Frank legislative and rule changes impacted the enforcement priorities and efforts of the SEC and CFTC?
- What investigative techniques are prosecutors and civil enforcement authorities using to develop securities and commodities cases?
- How have recent legal developments impacted coordination of criminal and civil regulatory investigations?
Moderator: Jodi Misher Peikin
Panelists: Marc P. Berger, Andrew M. Calamari, Polly Greenberg, James McMahon, David Meister, Karen Patton Seymour
12:15 Lunch
Afternoon Session: 1:15 p.m. - 5:00 p.m.
1:15 The Government’s Continuing Focus on Individuals: Exploring the Challenges For Prosecutors and Defense Counsel
- Why is the government continuing to focus so heavily on individuals in civil and criminal enforcement matters?
- What are the strategic considerations for an individual in a white collar investigation? Does the calculus change after charges are filed?
- Individuals are often at an informational disadvantage in a government investigation. How can counsel deal with this challenge?
- How can counsel deal with collateral problems such as PR, employment, or financial consequences?
Moderator: Marjorie J. Peerce
Panelists: Isabelle A. Kirshner, Hon. Cathy Seibel, Craig A. Stewart, Richard B. Zabel
2:30 A New Facet to the Special Relationship: Cooperation in White Collar Investigations Between the U.S. and U.K.
- An overview of the authorities in the U.K. charged with enforcing the laws against white collar crime
- Trends in U.K. enforcement and how it affects U.S. citizens and U.S. counsel
- How do U.S. and U.K. governments coordinate investigations?
- How do the U.S. and U.K. regulators and prosecutors gather evidence? What should defense counsel know about the different methods of gathering evidence?
- How to effectively represent individuals and corporations in cross-border investigations
- Differences and similarities in charging decisions in the U.S. and U.K.
Moderator: Robert H. Hotz, Jr.
Panelists: Sarah Clarke, David Esseks, Rod Fletcher, Jeffrey H. Knox, Claudius O. Sokenu
3:30 Networking Break
3:45 Trial Tactics
- In the current post-financial crisis climate, do white collar defendants stand a chance?
- How do pre-trial strategies in motion practice, discovery, and parallel proceedings impact trial success?
- What sorts of courtroom tactics have been particularly effective for white collar defense counsel and prosecutors?
- How do prosecutors and defense counsel address efforts to “put the government on trial”?
Moderator: Barry H. Berke
Panelists: Reed M. Brodsky, Eric B. Bruce, Hon. Richard J. Sullivan
5:00 Adjourn
Co-Chair(s)
Moderator(s)
Speaker(s)
Daniel R. Alonso ~ Chief Assistant District Attorney, New York County District Attorney's Office
Marc Berger ~ Co-Chief, Securities & Commodities Fraud Task Force, 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
Paul J. Fishman ~ United States Attorney, United States Attorney's Office, District of New Jersey
Jeffrey H. Knox ~ Chief, Criminal Division, Fraud Section, U.S. Department of Justice
James McMahon ~ Chief, Business and Securities Fraud Section, United States Attorney's Office, Eastern District of New York
Marshall L. Miller ~ Chief, Criminal Division, United States Attorney's Office, Eastern District of New York
Lorin L. Reisner ~ Chief, Criminal Division, United States Attorney's Office, Southern District of New York
Richard B. Zabel ~ Deputy United Sates Attorney, Criminal Division, United States Attorney's Office, Southern District of New York
Program Attorney(s)
New York City Seminar Location
PLI New York Center, 810 Seventh Avenue at 53rd Street (21st floor), New York, New York 10019. Message Center, program days only: (212) 824-5733.
New York City Hotel Accommodations
Due to high demand and limited inventory in NYC, we recommend reserving hotel rooms as early as possible.
The New York Hilton & Towers, 1335 Avenue of the Americas, New York, NY 10019. 1 block from PLI Center. Reservations 1-800-HILTONS or, 1-877-NYC-HILT. Please mention that you are booking a room under the Practising Law Institute Corporate rate and the Client File # is N495741. Reservations on line at www.hilton.com and enter the same Client File # in the Corporate ID # field to access Practising Law Institute rates.
The Warwick New York Hotel, 65 West 54th Street New York, NY 10019. 1 block from PLI Center. Reservations 800-223-4099 or, hotel direct 212-247-2700. Please mention that you are booking a room under the Practising Law Institute Corporate rate. Reservations on line at www.warwickhotelny.com Click reservations in menu bar on left. Select desired dates. In 'Special Rates' drop down window select Corporate Rate. In 'Rate Code' enter PLIN. Click search and select desired room type and rate plan. Or, you may email reservation requests to: res.ny@warwickhotels.com
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