Insider Trading: 2010 Update (New York Presentation)


Corporate, Public Companies Counseling + Compliance, Litigation, Investigations + White Collar Defense, and Securities Enforcement

Harvard Club of New York City
35 West 44th St.
New York, NY 10036

Carl H. Loewenson, Jr.

Carl H. Loewenson, Jr.


Rachel LaQuercia
(212) 336-4068

Because we have reached maximum capacity, registration for this event is now closed. We apologize for any inconvenience and look forward to seeing you at our future seminars

Insider trading is back in the news. Major hedge funds and corporate names are involved in what the federal authorities are calling the biggest insider trading investigations in a generation. Prosecutors are hinting that there is more to come. The SEC has brought its first insider trading case ever concerning credit default swaps. Aggressive investigative techniques have included court-authorized wiretaps and consensual recording of telephone conversations. Meanwhile, the SEC has announced new policies to foster cooperation in its investigations.

Our panelists, former federal prosecutors and SEC enforcement lawyers, will discuss these recent developments and what officers and directors of public companies and market participants can do to stay out of insider trading trouble. The panel will also include an expert economist from Cornerstone Research, who will explain critical economic issues that arise in insider trading cases.

Topics will include:

  • The latest developments involving the Raj Rajaratnam (Galleon) and related prosecutions
  • Wiretaps and other investigative techniques
  • Parallel criminal and SEC proceedings
  • Potential impact of "honest services" cases pending in U.S. Supreme Court
  • Potential private civil litigation arising from insider trading
  • What companies can do to customize compliance
  • The role of expert witnesses in insider trading cases (liability, causation, sentencing)


Registration: 8:00 a.m. - 8:30 a.m.
Program: 8:30 a.m. - 10:00 a.m.
Breakfast will be provided.

Who Should Attend:

In-house counsel, corporate directors and officers, regulatory and compliance officers, risk managers, internal audit staff, and ethics officers.


Randall J. Fons - Partner, Morrison & Foerster (former SEC Regional Director)

Carl H. Loewenson, Jr.- Partner, Morrison & Foerster (former Assistant U.S. Attorney)

Erik R. Sirri - Professor of Finance, Babson College (former Director, SEC's Division of Trading and Markets)

There is no cost to attend this program.

CLE credit for this program is pending.

This event is also being held in McLean, VA.

This program is co-sponsored by Directors Roundtable, a civic group that organizes worldwide programming for officers and directors.

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