white collar defense & investigations: events
Central New Jersey Compliance Group Meeting
October 14, 2014
Herrick Partners Richard M. Morris and Steven D. Feldman will speak at the Central New Jersey Compliance Group Meeting regarding effective responses to revised capital requirements, know your customer (KYC) regulations that will protect your bank, and tips on complying with government investigations.
In the Crosshairs: The Department of Justice and the SEC Focus on Insider Trading
June 12, 2014 -- The New York Society of Security Analysts
Howard Elisofon and Steve Feldman spoke at a seminar hosted by the New York Society of Security Analysts on June 12, 2014. The program examined the federal government’s ongoing campaign against insider trading and securities fraud, and the risks presented to securities industry professionals.
Establishing and Managing In-House Investigations and Compliance Functions
April 23, 2014 -- American Bar Association
David Rosenfield was on a panel entitled “Establishing and Managing In-House Investigations and Compliance Functions” at the ABA’s Sixth Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel, held in Washington, D.C.
Corporate Investigation CLE
February 28, 2013
Herrick's white collar and securities regulatory practice groups, in conjunction with the consulting firm of Alvarez & Marsal, hosted a CLE program focusing on critical issues in corporate internal investigations for sophisticated practitioners. The program focused on some of the thorny issues that confront attorneys when trying to effectively conduct an internal investigation. A panel comprised of experienced practitioners discussed practical issues and potential pitfalls that arise in the context of internal investigations. The panel offered insights on lessons learned in prior investigations and also discussed several investigations that suffered from serious missteps.
When Law Enforcement Comes Knocking
October 23, 2012
David Rosenfield spoke on a webinar to hundreds of audit and compliance professionals on how to respond when approached by law enforcement officers, and on the consequences of lying to the government.
ABA White Collar Crime Committee Meeting
October 11, 2012
The White Collar Crime Committee of the ABA’s Business Law Section hosted Professor John C. Coffee Jr., the Adolf A. Berle Professor of Law and Director of the Center on Corporate Governance at Columbia Law School. Professor Coffee spoke at Herrick, Feinstein LLP. Professor Coffee is listed by the National Law Journal as one of "The 100 Most Influential Lawyers in the United States” and is a recognized authority on white collar crime and securities industry regulation.
Obstruction of Justice
August 5, 2011 -- American Bar Association
David Rosenfield spoke on a panel at the ABA's Annual Meeting in Toronto on federal charges of obstruction of justice filed against an in-house attorney in connection with a document production.
Insider Trading Landscape, Post Galleon (Compliance 11 Webinar)
May 19, 2011 -- Compliance 11
Steve Feldman and Irwin Latner spoke at a Compliance 11 Webinar on the implications of the recent conviction of Raj Rajaratnam and the potential new era of intensified scrutiny regarding Insider Trading investigations. Compliance 11 sells compliance programs to broker-dealers, investment advisors and hedge funds.
The Knock Knock That’s No Joke!
May 5, 2011 -- Marcum’s Breakfast Event
Rick Morris and Steve Feldman spoke at Marcum’s breakfast event entitled “The Knock Knock That’s No Joke!” The event focused on how to protect your hedge fund when law enforcement agents or the SEC pay you a visit.
May 5, 2011 -- American Bar Association
David Rosenfield moderated a panel on voluntary disclosure by corporations at the ABA's "Third Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel" in New York City. David was also on the Planning Committee for the Institute.
Anti-Money Laundering and Economic Crimes
December 13, 2010 -- Gotham Media
Steve Feldman spoke on a CLE panel entitled “Anti-Money Laundering and Economic Crimes” at the Gotham Media Security TECH Breakfast seminar.
Compliance 11 User Conference
December 2, 2010 -- Compliance 11
Steve Feldman spoke on protecting financial services companies from an employee’s violation of the securities laws to securities professionals at a Compliance 11 user conference. Compliance 11 sells compliance programs to broker-dealers, investment advisors and hedge funds.
How False Statements Can Land You in Jail
October 6, 2010 -- Jamison Webinar
David Rosenfield and Steve Feldman spoke on a Jamison webinar for investment advisers entitled "How False Statements Can Land You in Jail."
Protecting Your Institution Post-Galleon: Current Insider Trading Issues
September 21, 2010 -- Herrick, Feinstein LLP
Our distinguished panel of experts and Herrick attorneys discussed the current challenges facing the financial industry, recent developments in the insider trading laws, and the steps attendees need to take to protect themselves and their institutions.
A Case Study: The Good, the Bad and the Ugly
May 5, 2010 -- American Bar Association
David Rosenfield moderated a panel entitled "A Case Study: The Good, the Bad and the Ugly" at the ABA's "Second Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel" in Washington, D.C.
Representing the Individual
May 8, 2009 -- American Bar Association
David Rosenfield spoke on a panel at the "First Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel" in Washington, D.C. on representing an individual in an internal investigation.
How to Deal with Surprise Government Interviews
February 5, 2008 -- Herrick, Feinstein and KPMG
Herrick sponsored, with KPMG, a seminar on dealing with surprise government interviews before the ACC's Greater NY Chapter in New York City.