4th Annual White Collar Crime Institute

This year’s event is May 11, 2017

Women in White Collar Kickoff Reception
Monday, May 11, 2015 | 6:30 p.m. – 8:30 p.m.

Institute Followed by Networking Reception
Tuesday, May 12, 2015 | 9:00 a.m. – 6:00 p.m.

Leslie R. Caldwell

Assistant Attorney General
Criminal Division

Karen Patton Seymour
Sullivan & Cromwell LLP

Andrew J. Ceresney

Director of Enforcement
US Securities and Exchange Commission

  • Women in White Collar Kickoff Reception
    Monday, May 11, 2015 | 6:30 p.m. – 8:30 p.m.

    You will not want to miss the Inaugural Women in White Collar Kickoff Reception, an opportunity to network in a more intimate setting the evening before the institute. As a special feature, there will be an informal Q&A session with the Honorable Leslie R. Caldwell, Assistant Attorney General, Criminal Division. All Institute registrants and faculty are encouraged to attend. Registration for the Institute includes attendance at the Kickoff Reception.

    Kickoff Reception Only: $50 Member/ $80 Nonmember (Discounts not available for Kickoff Reception.)


  • White Collar Crime Institute
    Tuesday, May 12, 2015 | 9:00 a.m. – 5:00 p.m.
    Followed by Networking Reception

    White collar criminal investigations and prosecutions continue to dominate the headlines. In an evolving and dynamic enforcement landscape, the demands on and consequences for both institutions and individuals have escalated on a seemingly upward spiral. The scope and nature of white collar matters have become even more complex as large, cross-border, multi-jurisdiction investigations proliferate. The challenges of defending these matters have increased, as the DOJ demands that companies help it build criminal cases against their employees as a measure of cooperation, and the SEC turns to its administrative process as the setting for litigation. The costs of corporate resolutions have escalated, with multi-billion dollar fines and corporate monitorships becoming routine. After enduring public criticism, enforcement authorities are focused on seeking to hold individuals criminally and civilly responsible.

    The White Collar Criminal Law Committee has assembled a comprehensive full-day program that will explore these and other critical developments that have characterized this era of white collar enforcement. The keynote speakers will be the Honorable Leslie R. Caldwell, Assistant Attorney General, Criminal Division and Andrew J. Ceresney, Director of Enforcement of the SEC.

    Our panels will include senior government enforcement officials, judges, senior legal personnel from New York-based corporations and financial institutions, and top practitioners in the field. During the plenary sessions, you will hear the perspectives of appellate judges and former white collar defendants, learn about the missteps, mistakes and minefields encountered with monitorships, as well as lessons from recent trials. Break-out sessions will focus on corporate cooperation and administrative enforcement proceedings.

    Live Program (includes download of materials):

    Live Program: $799 Member/$899 Nonmember
    Attorney’s practicing 5 years or less: $599 Member/$699 Nonmember (This special pricing cannot be combined with any other discounts.)
    Government/Non-profit/Full-Time Academics/Students: $299 Member/$399 Nonmember (This special pricing cannot be combined with any other discounts.)


  • Stephanie Avakian, Deputy Director, Divison of Enforcement, U.S. Securities and Exchange Commission

    Mahmoud Reza Banki

    Barry A. Bohrer, Schulte Roth & Zabel LLP

    Reed M. Brodsky, Gibson Dunn & Crutcher LLP

    Jennifer L. Brown, Attorney-In-Charge, Federal Defenders of NY, SNDY

    Susan Brune, Brune & Richard LLP

    George S. Canellos, Milbank, Tweed, Hadley & McCloy LLP, Former Co-Director, SEC Division of Enforcement

    Harry A. Chernoff, Assistant US Attorney, SDNY

    Robert J. Cleary, Proskauer Rose LLP

    Matthew E. Fishbein, Debevoise & Plimpton LLP

    Daniel M. Gitner, Lankler Siffert & Wohl LLP

    Rita M. Glavin, Seward & Kissel LLP

    David N. Kelley, Cahill Gordon & Reindel LLP, Former U.S. Attorney, SDNY

    Carmen J. Lawrence, King & Spalding LLP

    Honorable Gerard E. Lynch, US Circuit Court Judge, Second Circuit

    Robert Mahony, Norris, McLaughlin & Marcus, PA, Former Administrative Law Judge, US Securities and Exchange Commission

    Aaron R. Marcu, Freshfields Bruckhaus Deringer LLP

    Abby S. Meiselman, Head of Litigation, IB Americas, UBS Investment Bank

    Shirah Neiman, SN Compliance LLC, Former Chief Counsel to the US Attorney, SDNY

    Nelson Obus

    Troy A. Paredes, Senior Strategy and Policy Advisor, Financial Services Regulatory Practice, PricewaterhouseCoopers LLP, Former Commissioner, US Securities & Exchange Commission

    Tai H. Park, Park Jensen Bennett LLP

    Honorable Stuart Rabner, Chief Justice, NJ Supreme Court

    Elliot G. Sagor, Mintz & Gold LLP

    Bart M. Schwartz, Chairman, Guidepost Solutions LLC

    Honorable Patty Shwartz, US Circuit Court Judge, Third Circuit

    Patrick J. Smith, DLA Piper LLP (US)

    David Szuchman, Executive Assistant District Attorney & Chief of the Investigation Division, New York County District Attorney’s Office

    Foster Winans

    Richard B. Zabel, Deputy U.S. Attorney, SDNY

  • 9:00 am – 9:10 am      Welcome Remarks by Karen Patton Seymour

    9:10 am – 9:45 am      Morning Keynote Address by Honorable Leslie R. Caldwell

    9:45 am – 11:00 am    View From The Bench: Appellate Judges Speak About White Collar Crime

    • Differences among the three courts in their approach to white collar matters
    • Advice for practitioners
    • Best practices and Do’s and Don’ts

    Moderator: Robert J. Cleary
    Panelists: Honorable Gerard E. Lynch, Honorable Stuart Rabner & Honorable Patty Shwartz

    11:00 am – 11:10 am  Coffee Break Sponsored by Debevoise & Plimpton LLP

    11:10 am – 12:10 pm  Former White Collar Defendants Speak

    • Charges and outcomes in each case
    • Immediate collateral consequences
    • Takeaways from trial – challenges, surprises, watershed moments
    • Fallout following trial
    • Key lessons learned and suggested changes to criminal/civil enforcement process

    Moderator: Reed M. Brodsky
    Panelists: Mahmoud Reza Banki, Nelson Obus & R. Foster Winans

    12:10 pm – 1:10 pm    Monitorships: Missteps, Mistakes and Minefields

    • Meet the monitors involved in many of the most high profile matters
    • Monitor selection, the Morford Memorandum, who should select the monitor? The government/regulator, or should the defendant make the selection?
    • Are monitors becoming more like prosecutors?
    • Ethical issues and inherent potential conflicts
    • Lessons learned from past monitorships
    • How to deal with the burden/expense of a monitor (company pays but has no control over the cost/scope of work)

    Moderator: Elliot Sagor
    Panelists: David N. Kelley, Shirah Neiman, Bart M. Schwartz & Troy A. Paredes

    1:10 pm – 1:50 pm      Networking Luncheon Sponsored by Ernst & Young LLP

    1:50 pm – 2:25 pm      Afternoon Keynote Address by Andrew J. Ceresney

    2:25 pm – 3:40 pm      Lessons From Recent Trials Sponsored by Freshfields

    • Use of jury consultants pre-trial and during trial
    • Strategies and tactics that have worked (and did not work) in recent trials
    • Presenting a defense (and when not to)
    • Presenting evidence – use of technology and visuals
    • Channeling jury deliberations

    Moderator: Barry A. Bohrer
    Panelists: Jennifer Brown, Harry A. Chernoff, Daniel M. Gitner, Aaron R. Marcu & Patrick J. Smith


    3:40 pm – 3:50 pm      Coffee Break Sponsored by Sullivan & Cromwell LLP 

    3:50 pm – 4:50 pm      Afternoon Break-Out Sessions:

    The Government’s Call for Cooperation By and Against Companies – A Game-Changer or More of the Same?
    • Importance of the new measures from the government perspective
    • Implications for company’s inside and outside counsel
    • Impact of new governmental focus on the efficacy of internal investigation and the morale of a company
    • Relevant considerations for counsel for individuals
    • Ethical issues involved
    Moderator: Tai H. Park
    Panelists: Susan Brune, Matthew E. Fishbein, Abby S. Meiselman, David Szuchman & Richard B. Zabel


    Defending Administrative Enforcement Proceedings (SEC, CFTC, FINCEN, etc.)
    • Differences in litigating before an ALJ and federal court
    • Dealing with discovery and a fast track schedule
    • Use of experts
    • The art of “settlement discussions” after an administrative proceeding is filed
    Moderator: Rita M. Glavin
    Panelists: Stephanie Avakian, George S. Canellos, Carmen J. Lawrence & Robert Mahony

    4:50 pm – 5:00 pm      Concluding Remarks

    5:00 pm – 6:00 pm      Networking Reception Sponsored by Ernst & Young LLP


  • New York Credit: 7.0 professional practice
    This program provides transitional/non-transitional credit for all attorneys.

    California Credit: 7.0 general
    New Jersey Credit: 7.1 general
    Pennsylvania Credit: 5.5 general
    professional responsibility


  • Sponsoring Association Committees: White Collar Crime, Karen Patton Seymour, Chair; Criminal Advocacy, Susan D. Hoffinger, Chair; Criminal Law, Sharon L. McCarthy, Chair

    Cosponsoring Organizations: Women’s White Collar Defense Association
    Women's White Collar Defense Association

    Sponsoring Association Committee: White Collar Crime, Karen Patton Seymour, Chair

    Sponsorship Opportunities are Available! Please Contact:
    Ann Rappleye, Director, City Bar Center for CLE | (212) 382-6606 | ARappleye@nycbar.org or
    Darianne De Leon, Program & Sponsorship Coordinator, City Bar Center for CLE | (212) 382-6731 | ddeleon@nycbar.org