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Developments in Securities Fraud Enforcement Focus at Upcoming ABA Meeting

WASHINGTON, D.C., Oct. 12, 2009 — The end of 2008 and beginning of 2009 saw the financial markets collapse and administration change hands. The Foreign Corrupt Practices Act is still a major focus for regulators and financial fraud is still continuing. In order to restore investor confidence, the Department of Justice and Securities Exchange Commission are handing down stiffer penalties and providing stricter enforcement.

To help bring insight to these issues the _ Criminal Justice Section will host the “Fourth Annual National Institute on Security Fraud” this Thursday and Friday at the Ritz Carlton, 1150 22nd Street, N.W., Washington, D.C.

Topics will include the FCPA, trends and expectations in securities fraud investigations and prosecutions, extraterritorial jurisdiction, Ponzi schemes, insider trading, “pay to play” practices by investment advisers, among others.

Below is a list of featured speakers. More information can be found here: http://www.abanet.org/cle/programs/n09sfr1.pdf

Panelists, in alphabetical order, include:

  • Lanny A. Breuer, assistant attorney general, U.S. Department of Justice
  • Gregory G. Faragasso, assistant director, SEC
  • Scott W. Friestad, deputy director, Division of Enforcement, SEC
  • Richard Haynes, senior managing director, FTI Consulting, Inc.
  • Robert Khuzami, director, Division of Enforcement, SEC
  • Joshua E. Levine, senior vice president and counsel, Citigroup Global Markets, Inc.
  • Raymond Lohier, assistant U.S. attorney and chief, Securities Fraud Unit, U.S. Attorney’s Office, Southern District of New York
  • Luis Mejia, chief litigation counsel, Enforcement Trial Unit, SEC
  • Mark F. Mendelsohn, deputy chief, Fraud Section, Criminal Division, U.S. Department of Justice
  • Claudius Modesti, director, Division of Enforcement and Investigations, Public Company Accounting Oversight Board
  • Daniel A. Nathan, vice-president and director of regional enforcement, Financial Industry Regulatory Authority
  • Paul Pelletier, principal deputy chief, Fraud Section, SEC
  • Lorin L. Reisner, deputy director, Division of Enforcement, SEC
  • C.E. Rhodes, Jr., counsel, U.S. Operations & Compliance, Baker Hughes Incorporated
  • William J. Stuckwisch, senior counsel to the assistant attorney general, Criminal Division, U.S. Department of Justice
  • Steven A. Tyrrell, chief, Fraud Section, U.S. Department of Justice

With nearly 400,000 members, the _ is the largest voluntary professional membership organization in the world. As the national voice of the legal profession, the ABA works to improve the administration of justice, promotes programs that assist lawyers and judges in their work, accredits law schools, provides continuing legal education, and works to build public understanding around the world of the importance of the rule of law.

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Editor’s Note: Accredited reporters are welcome to cover the program for free. Contact Jane Singleton, -1093 or for credentials.

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