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CLE - Securities Enforcement: Recent Developments, Trial Strategies, & Non-Prosecution Agreements

Thursday, April 4, 2013 4:00 PM to 7:00 PM
Boston Bar Association - 16 Beacon Street, Boston, MA

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*Additional fees may apply for online viewing of programs via West LegalEd. BBA Members may be eligible for a discount.


This program has already taken place, but you can still catch up on what you missed!

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This program will include three panels featuring attorneys from the SEC, the U.S. Attorney's office, private practice, as well as a U.S. District Court judge. The panelists will review recent SEC / DOJ trends, explore strategies to take in the courtroom, and will provide helpful approaches for practitioners representing clients under investigation, when indicted, and during appeals.

Reception to Follow!

Panel One: SEC/DOJ Trends and Developments
I. Criminal securities fraud enforcement by the U.S. Attorney's Office
II. Priorities and new initiatives at the SEC

Jonathan L. Kotlier, Partner, Nutter McClennen & Fish

David Bergers, Esq.; Regional Director and Acting Deputy Chief of Enforcement - Securities & Exchange Commission
Paul G. Levenson, Esq.; Chief, Economic Crimes Unit, United State Attorney's Office
Emily R. Schulman, Esq.; Partner, Wilmer Hale
Nicholas C. Theodorou, Esq.; Partner, Foley, Hoag

Panel Two: Trying Securities Cases: Can the Jury Really Get It?

Rachel Hershfang (SEC)

Hon. Douglas P. Woodlock; Judge, U. S. District Court, District of Massachusetts
John J. Falvey, Esq.; Partner, Goodwin, Procter LLP
Andrew Lelling, Esq.; U.S. Attorney's Office
Dan Tighe, Esq.; Partner, Griesinger Tighe & Maffei LLP

Panel Three: Internal Investigations Done Right: Obtaining a Non-Prosecution Agreement and Other Ways to Protect Shareholder Value

I. Insights on the SEC's only non-prosecution agreement (In re Carter's) from audit committee counsel.
II. How to structure and conduct an internal investigation to reduce corporate exposure risk and maximize positive outcomes.
III. What government investigators expect from companies conducting internal investigations.

Ian Roffman, Esq.; Partner, Nutter, McClennen & Fish LLP

Cynthia Young, Esq.; Chief of Criminal Division U.S. Attorney's Office, District of Massachusetts
Randall Bodner, Esq.; Partner, Ropes & Gray LLP
Stephen Huggard, Esq.; Partner, Edwards Wildman Palmer LLP
R. Daniel O'Connor, Esq.; Partner, Ropes & Gray LLP

Registration Categories:
BBA Member - $130.00
Non-Member - $170.00
BBA Member - Legal Services/Government Lawyer - $70.00
Law Student - $30.00

Sponsoring Section/Committee(s):



Kristen White


BBA Event Calendar