Celesq® Attorneys Ed Center

Second Circuit Endorses New Criminal Theory for Insider Trading Prosecution

Program Number: 3060

Program Date: 02/18/2020

Description

This program will discuss the recent groundbreaking decision United States v. Blaszczak in which the United States Court of Appeals for the Second Circuit affirmed – for the first time ever – an insider trading conviction without proof of a personal benefit to the insider or tipper. Attendees will learn how this decision builds on recent insider trading decisions to further expand insider trading liability in significant ways and how they should respond to it to bolster their companies’ compliance programs.

$95.00Audio Tape Add to Cart $95.00Online Audio Add to Cart

Available in states

California, Colorado Eligible, Florida, Georgia, New Jersey Eligible, New York, New York - BOTH New and Experienced Attorneys, Texas Self Study

Credit Information

50 minute credit hour - 1.0 General CLE credit, based on a 50 minute credit hour
60 minute credit hour - 1.0 General CLE credit, based on a 60 minute credit hour

State Program Numbers

Presenters


John Carney, Esq.

Baker & Hostetler LLP

Co-leader of the firm's national White Collar, Investigations and Securities Enforcement and Litigation team, John Carney is a former Securities Fraud chief, assistant United States attorney, U.S. Securities and Exchange Commission (SEC) senior counsel and certified public accountant at a "Big Four" accounting firm. He is a seasoned advocate who represents public and private corporations and financial institutions in complex civil, regulatory and criminal law enforcement investigations and litigation, and advises and defends corporations and senior officers on FCPA compliance, investigation and defense. His experience conducting investigations of possible FCPA violations and other potentially improper foreign country-based financial transactions has included working on major matters in the BRIC countries – Brazil, Russia, India and China. Having litigated for, and against, the U.S. government, he strongly encourages clients to take preemptive governance and remediation measures to mitigate legal and reputational risk in today's increasingly aggressive law enforcement environment.

Based on his success representing institutional and individual clients in complex regulatory and law enforcement matters, John was recently listed as one of the best securities enforcement defense lawyers in the U.S. in the Securities Docket "Enforcement 40." He is ranked in Chambers USA and is also certified in financial forensics by the American Institute of Certified Public Accountants. He lectures extensively at domestic and international conferences and training seminars on anticorruption and anti­money-laundering laws, corporate governance, compliance and disclosure, insider trading, securities, tax and other financial crimes, and defending complex and multijurisdictional civil and criminal cases.

 

Jonathan Forman, Esq.

Baker & Hostetler LLP

Jonno Forman works with hedge fund and private equity fund managers, investment advisers, broker-dealers, insurance companies, and other financial services companies and their management to respond to regulatory examinations and government investigations as well as to resolve complex disputes. Jonno has successfully guided companies and individuals through investigations by the Securities and Exchange Commission (SEC), the Department of Justice (DOJ) and the Financial Industry Regulatory Authority (FINRA), resolving many without charges ever being brought against them. Jonno also advises clients with respect to their compliance programs and transactional due diligence relating to litigation, bribery, money laundering, data privacy, and other legal and reputational risks, including compliance with the Cybersecurity Regulation of the New York Department of Financial Services (NYDFS).

Jonno writes and speaks on the topic of securities and financial regulation and enforcement, highlighting significant developments for legal and compliance personnel, including data privacy and cybersecurity and other regulatory priorities and trends.

 

Jonathan New, Esq.

Baker & Hostetler LLP

Jonathan New represents clients in white collar criminal and regulatory matters, corporate investigations and complex commercial litigation, with a particular focus on cross-border government investigations. He has represented clients in connection with criminal and regulatory investigations conducted by the U.S. Department of Justice, the Federal Bureau of Investigation, the Securities and Exchange Commission's (SEC) Division of Enforcement, the Commodities Futures Trading Commission (CFTC), the Internal Revenue Service and the New York State Office of the Attorney General. Jonathan also advises clients on legal and regulatory compliance issues and has counseled clients on various issues involving intellectual property and computer crimes. He approaches matters analytically, developing a strategy that is based on a thorough understanding of the facts and presents the client's position in a light that most resonates with regulators, judges and jurors.

 

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