Privilege Waivers in SEC and DOJ Investigations: Legal and Ethical Questions-2009
Program Number: 1984
Program Date: 11/05/2009
Description
Join popular presenter Thomas Gorman, Esq., for this important analysis of the critical ethical and legal questions for counsel in SEC and DOJ investigations. Topics include:
• an analysis of the current SEC and DOJ cooperation standards and related considerations such as indemnification and common interest agreements;
• the legal and ethical issues raised by the application of the standards in practice, including waiver of attorney-client and work product privileges, questions about self-reporting, the impact on employees and their right to counsel and to decline to testify; and
• possible solutions to these ethical dilemmas.
NOTE to TX Attorneys: This course has been approved for Minimum Continuing Legal Education credit by the State Bar of Texas Committee on MCLE in the amount of 1 credit hours, of which 1 credit hour will apply to legal ethics/professional responsibility credit.
Available in states
Arizona, California, Colorado Eligible, Georgia, New Jersey Eligible, New York, Texas Self Study
Credit Information
50 minute credit hour - 1.0 General CLE credit, including 1.0 Ethics credit
60 minute credit hour - 1.0 General CLE credit, including 1.0 Ethics credit
State Program Numbers
NC # 11, 1.0 Ethics (1/1/2010-12/31/2010); NY 1.0 Ethics credit
Program Categories
California Participatory MCLE Programs
Corporate and Commercial Law
Corporate and Securities Law
Criminal Law & White Collar
Employment & Labor Law
Ethics & Professionalism
In-House Counsel
Litigation & Litigation Skills
New York Accredited
North Carolina
Regulatory and Administrative Law
Securities & Investing
Texas Participatory CLE Programs
Presenters
 Thomas O. Gorman, Esq. Dorsey & Whitney LLP |
Thomas O. Gorman, Esq. is a partner in the Washington, D.C. office of Dorsey & Whitney LLP. Mr. Gorman, whose practice involves a wide range of civil and criminal securities and business litigation matters, including conducting internal corporate investigations, defending public companies and individuals in SEC and DOJ investigations, and defending securities class action and derivative suits, is Co-chair of the ABA White Collar Crime Securities Section, and a former member of the staff of the Securities and Exchange Commission's Enforcement Division and Office of the General Counsel. He is a frequent speaker and author of articles regarding securities litigation topics and publishes a blog (www.SECActions.com), which comments on trends and current events in SEC and DOJ securities enforcement investigations and actions. Among his other honors, and those awarded for his blog, he has been selected since 2007 for inclusion in Super Lawyers in the area of securities litigation and Washington Business Journal previously recognized him as one of the five top lawyers in Washington, D.C. |
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