Insider Trading: New Developments in Investigating, Prosecuting & Defending Cases

Originally held on Wednesday, December 2 | 6 pm – 8 pm

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Program Chair
Steven R. Peikin
Sullivan & Cromwell LLP

  • Insider trading continues to be a high enforcement priority for both the SEC and DOJ.  Both agencies have devoted unprecedented resources to investigating insider trading violations, continue to employ aggressive investigative techniques, and ventured into new substantive territories and prosecution theories.  The result has been a continuing heavy docket of criminal and civil investigations and prosecutions and a continuing effort to chart new ground in insider trading prosecutions.

    At this program, a panel of experts will discuss the new frontiers being explored in recent cases.  The course will cover the following topics, among others:

    • Enforcement priorities
    • Insider trading liability of tippees after US v Newman
    • Insider trading involving commodities, futures and derivatives, debt and credit instruments
    • Enforcement of the Stock Act
    • Prosecution and defense strategies

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  • Antonia M. Apps
    Milbank, Tweed, Hadley & McCloy LLP

    Alan Cohen
    Executive Vice-President and Head of Global Compliance
    Goldman Sachs & Co.

    Katherine R. Goldstein
    Chief, Securities and Commodities Fraud Task Force
    US Attorney’s Office, SDNY

    Charles Riely
    Assistant Regional Director
    U.S. Securities and Exchange Commission

    Silvia L. Serpe
    Serpe Ryan LLP

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  • 6:00 pm – 6:15 pm                  Introduction and Panel Overview

                                                     Panelists

    6:15 pm – 7:00 pm                  US v. Newman – Impact and Consequences for Enforcement

                                                     Panelists

    7:00 pm – 7:30 pm                  Stock Act and CFTC Enforcement of Insider Trading 

                                                     Panelists

    7:30 pm – 8:00 pm                  Case Study: In Re Ruggieri 

                                                     Panelists

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  • This program provides 2.0 credits in professional practice 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.

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  • Save $$ on DVDs & CDs

    *DVDs: $199 Member / $299 Nonmember
    In-House Counsel $129 Member/ $229 Nonmember
    (In-House Counsel discounted rate cannot be combined with other discounts.)

    *CDs: $149 Member / $229 Nonmember
    In-House Counsel $99 Member/ $179 Nonmember
    (In-House Counsel discounted rate cannot be combined with other discounts.)

    *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.

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

    Sponsorship Opportunities are Available! Please Contact: 
    Laura S. Poles, Program Attorney  
    Lpoles@nycbar.org |212.382.6619

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