Ethical Considerations for Corporate Investigations: Views From All Sides

Originally held on Thursday, September 10, 2015 | 6 pm – 9 pm

Frank Wohl

Program Chair
Frank Wohl
Lankler, Siffert & Wohl, LLP

  • This annual update program will explore current issues and recent developments relating to ethical duties and responsibilities of attorneys and other participants in corporate internal investigations involving public companies and other entities. These issues will be discussed from the point of view of counsel for the entity, investigating counsel, counsel for individual executives and government representatives. The presentation will touch on a broad array of ethical issues, devoting special attention to current developments concerning prosecution and regulatory strategies, conflicts of interest, protection and waiver of the attorney-client privilege, counseling of employee witnesses, the federalization of ethical obligations imposed on attorneys under the Sarbanes-Oxley legislation of 2002, and the impact of the Dodd-Frank legislation of 2010. The faculty will also discuss special issues raised by global investigations, involving multinational entities.

  • Program Chair:

    Frank H. Wohl
    Lankler, Siffert & Wohl, LLP


    Stephanie Avakian
    Deputy Director, Division of Enforcement
    US Securities and Exchange Commission

    Janet Broeckel
    Managing Director & Associate General Counsel
    Litigation and Regulatory Proceedings
    Goldman, Sachs & Co.

    Professor Bruce A. Green
    Louis Stein Chair of Law; Director, Stein Center
    Fordham University School of Law

    Denis J. McInerney      
    Davis, Polk & Wardwell, LLP

    Amy E. Millard      
    Clayman & Rosenberg, LLP

    Breon S. Peace                 
    Cleary Gottlieb Steen & Hamilton, LLP

    Karen Patton Seymour
    Sullivan & Cromwell, LLP

  • 6:00 pm-6:15 pm Introduction and Presentation of Hypothetical
    Frank H. Wohl
    6:15 pm-6:35 pm

    Investigating Counsel

    • Qualifications of Investigating Counsel
    • Responsibilities and Risks of Investigating Counsel

    Breon S. Peace

    6:35 pm-6:55 pm

    Outside Counsel for the Company

    • Avoiding Conflicts of Interest
    • Risks of Being Too Efficient

    Karen Patton Seymour

    6:55 pm-7:15 pm

    Outside Counsel for the Company

    • Protecting Privileges
    • Joint Defense Agreements

    Denis J. McInerney

    7:15 pm-7:30 pm Break
    7:30 pm-7:50 pm

    Inside Counsel for the Company

    • Protecting the Company
    • Protecting Employees

    Janet Broeckel

    7:50 pm-8:10 pm 

    Counsel for Individuals

    • Targets, Witnesses and Whistleblowers
    • Playing Well With Others:  Joint Defense Agreements

    Amy Millard

    8:10 pm-8:30 pm

    Counsel for the Government

    • Current Government Policies
    • Expectations of Investigating Counsel and Companies

    Stephanie Avakian

    8:30 pm-8:45 pm Ethics Wrap-Up
     Prof. Bruce A. Green
    8:45 pm-9:00 pm Questions & Answers

  • This program provides 3.0 credits in ethics for the New York & New Jersey MCLE requirements. California & Pennsylvania credit differs as it is based on a 60-minute credit hour. The live program provided transitional credit to newly admitted attorneys; the recording does not provide transitional credit.

  • Can’t make it to the program in person? You can attend this program from your office or home. Register and view by clicking on the Casemaker logo below:


  • Save $$ on DVDs & CDs

    *DVDs: $229 Member / $329 Nonmember

    *CDs: $179 Member / $249 Nonmember

    *Materials Only (no CLE credit): $99 Member/$129 Nonmember

    * New York residents will be charged the New York sales tax for all audio visual purchases.

  • 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 |