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white collar defense & investigations: events
Summary Professionals Matters News Events Publications
Upcoming Events:

The FDA’s Food Safety Program - Failure to Comply is Not an Option
November 2014 - Present
As part of Herrick’s ongoing efforts to assist food and beverage companies in identifying potential threats at the earliest stage, this presentation addresses critical issues and recent developments related to the FDA’s food safety program. Prepared by David Rosenfield, a former federal prosecutor with extensive experience dealing with federal agencies, including the FDA, the presentation offers innovative solutions and strategies for making sure your company is prepared.

Past 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.
When the Government Comes Knocking - Legal and Practical Considerations
September 2014 -- ABA Business Law Section's Annual Meeting
David Rosenfield moderated a panel entitled “When the Government Comes Knocking - Legal and Practical Considerations” at the ABA Business Law Section's Annual Meeting held in Chicago.
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.
The Ethics of Anti-Corruption Internal Investigations for Corporate Counsel
April 10, 2014 -- American Bar Association
David Rosenfield moderated a panel entitled "The Ethics of Anti-Corruption Internal Investigations for Corporate Counsel" at the ABA Business Law Section's Spring Meeting held in Los Angeles.
Download this File.
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.
What to do if Your Fund Has Been Suspected of Insider Trading and Other Fraudulent Acts
January 10-11, 2012 -- Optimizing Hedge Fund Business Operations
Steve Feldman spoke at the Optimizing Hedge Fund Business Operations Annual Conference on “What to do if Your Fund Has Been Suspected of Insider Trading and Other Fraudulent Acts” at the Princeton Club in New York.
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.
Voluntary Disclosure
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.
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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.
The Dodd-Frank Wall Street Reform and Consumer Protection Act
October 20, 2010 -- FEI New York City Chapter
Steve Feldman and Rick Morris spoke at the FEI New York City Chapter event “The Dodd-Frank Wall Street Reform and Consumer Protection Act.”
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."
Federal Bar Council's Fall Retreat
October 1-3, 2010
Steve Feldman and Scott Mollen attended the Federal Bar Council's Fall Retreat in Lenox, MA.
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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.
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Financial Regulatory Overhaul Fund Compliance Workshop
July 27, 2010 -- IVY Plus
Herrick hosted an IVY Plus review session which focused on fund compliance with the passage of the Financial Regulatory Overhaul bill.
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Investment Advisors: Can Advisors be Held Criminally Liable for an Employee's Violation of Federal and State Securities Law?
July 13, 2010 -- Herrick, Feinstein LLP and Herbert L. Jamison & Co., L.L.C.
Steven Feldman and Arthur Jakoby joined members of Herbert L. Jamison & Co., L.L.C. to present a webinar entitled “Investment Advisors: Can Advisors be Held Criminally Liable for an Employee's Violation of Federal and State Securities Law?”
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.
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Best Practices in Assessing Your Company’s Enterprise Risk Management Initiative: The Role of Internal Audit and Fiduciary Responsibilities of Audit Committees and Audit Directors
March 4, 2010 -- Herrick, Feinstein LLP and Institute of Internal Auditors
Herrick, in conjunction with the Business and Industry Committee of the New York Chapter of the Institute of Internal Auditors, hosted two interactive panel discussions and a networking reception.
Criminal and Civil Issues Regarding the Bank Secrecy Act
September 22, 2009 -- New York State Society of CPAs
David Rosenfield spoke at a New York State Society of CPAs meeting on criminal issues related to the Bank Secrecy Act, and also discussed surprise government interviews.
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Economic Upheaval & Financial Frauds – How the Regulators and Prosecutors are Responding to Turbulent Times
June 16, 2009 -- Tufts Financial Network
Steven Feldman spoke on a Tufts Financial Network panel entitled “Economic Upheaval & Financial Frauds—How the Regulators and Prosecutors are Responding to Turbulent Times.”
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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.
The Consequences of a Failure to Implement Anti-Money Laundering Controls
June 18, 2008 -- Financial Controls & Risk Forum 2008
David Rosenfield presented "The Consequences of a Failure to Implement Anti-Money Laundering Controls" at Gotham Media Ventures' "Financial Controls & Risk Forum 2008: Institutional Vulnerabilities and Due Diligence" in New York City.
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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.