**Extended Hours** CLECenter Customer Service will be available between 9AM-8PM EST thru 2/1/18

Home Course Catalog Program Details

Program Details

Back to Search Results

Program Description

Ethical Considerations for Corporate Investigations: Update 2008




Approved for CLE credit in: AK,AZ,CA,FL,ME,ND,NJ,NY,WV

This annual updates program will explore current issues and recent developments relating to ethical duties and responsibilities of attorneys and other participants in corporate internal investigations involving public companies. These issues will be discussed from the point of view of counsel for the corporation, investigating counsel and government representatives. The presentation will touch on a broad array of ethical issues, devoting special attention to current developments concerning prosecution and regulatory strategies, conflicts of interests, protection and waiver of the attorney-client privilege, counseling of employee witnesses, and the federalization of ethical obligations imposed on attorneys under the Sarbanes-Oxley legislation of 2002.

Provided By: New York City Bar


Introduction & Presentation of Hypothetical

Frank H. Wohl

Discussion of Hypothetical - Part I

  • Representing the Company
  • Joint Defense Agreements Resurrected?
  • Parallel Investigations
    Karen Patton Seymour

    Discussion of Hypothetical - Part II

  • Acting as Investigation Counsel (1)
  • Ethical Obligations in Interviewing Employees
  • Zealous Investigation
    Denis J. McInerney

    Discussion of Hypothetical - Part III

  • Acting as Investigation Counsel (2)
  • Reporting the Results
  • Protection of Company Privileges
    Pamela Rogers Chepiga

    Discussion of Hypothetical - Part IV

  • Representing the Government
  • The McNulty Memorandum - Alive or Dead?
  • The Filip Letter
  • Government Expectations of Investigating Counsel
    William F. Johnson

    Discussion of Hypothetical - Part V

  • Representing Corporate Executives and Other Individuals
  • Protecting Laptops, Blackberries, iPhones and other Personal Devices
    David E. Brodsky

    Ethics Wrap-Up

    Professor Bruce A. Green

    Questions & Answers

  • CLE Credit Information

    Click on the state abbreviation to find the CLE Credit Information for your state.

    This program is has been approved for credit in AK,AZ,CA,FL,ME,ND,NJ,NY,WV

    Experienced attorneys only (non-transitional)

    Similar Programs

    Panelist Biographies


    Mr. McInerney is a member of Davis Polk & Wardwell¿s Litigation Department. He represents corporate and individual clients in grand jury and regulatory investigations, criminal and civil trials, internal investigations and general civil litigation.

    From 1989 to 1994, Mr. McInerney was an Assistant U.S. Attorney for the Southern District of New York, serving as a deputy chief of the Criminal Division from 1993 to 1994. In 1994, he served as an Associate Independent Counsel in the Whitewater Investigation with Independent Counsel Robert B. Fiske Jr..

    Mr. McInerney has extensive trial experience as a prosecutor and defense attorney, including his service in 2002 as second chair in the criminal trial of Arthur Andersen in the U.S. District Court for the Southern District of Texas. In 2000, he served as lead trial lawyer for the former chairman and chief executive officer of an investment bank who was tried on insider trading charges in the U.S. District Court for the Southern District of New York. His major recent matters have included representations of several large financial, industrial, retail and gaming institutions, including CVS Caremark Corporation, Siemens AG, and the New York Racing Association, as well as several individuals, including the former chairman and chief executive officer of Computer Associates and various senior executives at hedge funds in connection with a variety of federal and state criminal and regulatory matters..

    Bruce Green

    Louis Stein Professor & Director of the Louis Stein Center for Law and Ethics
    Fordham Law School

    Professor Bruce A. Green is the Louis Stein Professor at Fordham Law School, where he directs the Louis Stein Center for Law and Ethics. He teaches and writes primarily in the areas of legal ethics and criminal law, and is involved in various bar association activities, including many in the field of legal ethics. He is a member and past chair of the NYSBA's ethics committee and a member of the NYSBA's Committee on Standards of Attorney Conduct, as well as a member of the ABA's ethics committee and a former member of the City Bar's ethics committee. He serves on the Multistate Professional Bar Examination drafting committee and is Chair of the ABA Criminal Justice Section. He formerly served on the NYC Conflicts of Interest Board and on the Departmental Disciplinary Committee. Before joining the Fordham faculty in 1987, Professor Green was a law clerk to Judge James L. Oakes and Justice Thurgood Marshall and an Assistant U.S. Attorney and Chief Appellate Attorney in the Office of the U.S. Attorney for the Southern District of New York.


    Allen & Overy

    Prior to joining Allen & Overy, Pamela was the founding Director of the Securities Arbitration Clinic at Fordham University School of Law. Previous to that position, she was a partner at Cadwalader, Wickersham & Taft. From 1982 to 1984, she served as the Chief of the Securities and Commodities Fraud Task Force in the United States Attorney's Office of the Southern District of New York.


    Cleary Gottlieb Steen & Hamilton

    David E. Brodsky is a partner based in the firm¿s New York office.

    Mr. Brodsky specializes in securities enforcement, white-collar criminal defense, and internal investigations. He has represented corporations and individuals in investigations involving alleged insider trading, accounting and securities fraud, foreign corrupt payments, bid rigging, and obstruction of justice. He has appeared before the Department of Justice, the Securities and Exchange Commission, the National Association of Securities Dealers, the Financial Industry Regulatory Authority, the New York Attorney General¿s Office, and the New York District Attorney¿s Office.

    Mr. Brodsky is distinguished as one of the leading lawyers for white-collar criminal defense and investigations by Chambers USA America¿s Leading Lawyers for Business, Benchmark Litigation: The Definitive Guide to America's Leading Litigation Firms and Attorneys, Expert Guide to the World's Leading White Collar Crime Lawyers, and The International Who's Who of Business Lawyers. He has spoken before the Practicing Law Institute, the Securities Industry and Financial Markets Association, the Institute of International Bankers, the Federal Bar Council, and the Association of the Bar of the City of New York. He has served on the Committee on Professional and Judicial Ethics of the Association of the Bar for the City of New York, is an officer of the Federal Bar Council, and is a member and former Director of the New York Council of Defense Lawyers.

    Previously, Mr. Brodsky served in the United States Attorney¿s Office for the Southern District of New York, where he handled more than a dozen jury trials and argued numerous appeals before the Second Circuit. As Chief Appellate Attorney, he briefed and argued United States v. Chestman, a precedent-setting insider-trading case decided by the Second Circuit sitting in banc. In addition, as a member of the Securities and Commodities Fraud Unit, he handled United States v. Bilzerian, a high-profile securities and tax fraud prosecution.

    Mr. Brodsky joined the firm in 1991 and became a partner in 1994. He received a J.D. degree in 1983 from the Yale Law School, where he served as a Senior Editor of the Yale Law Journal. Mr. Brodsky received an undergraduate degree in 1980 from Rutgers University, where he graduated summa cum laude. Following law school, Mr. Brodsky served as a law clerk to the Honorable W. Arthur Garrity, Jr., United States District Judge in Boston, Massachusetts.

    Mr. Brodsky is a member of the Bar in New York and is admitted to practice before the U.S. Supreme Court, the U.S. Court of Appeals for the Second Circuit, and the U.S. District Courts for the Southern and Eastern Districts of New York.

    William Johnson

    Deputy Chief of the Securities and Commodities Fraud Task Force
    United States Attorney's Office

    William Johnson is the Deputy Chief of the Securities and Commodities Fraud Task Force in the United States Attorney's Office for the Southern District of New York.

    Bill began his career at the Securities and Exchange Commission, and has served nearly 14 years investigating, prosecuting and supervising cases arising under the principal anti-fraud provisions of the federal securities laws. These complex matters have included market manipulation, insider trading, accounting and other financial fraud, investment advisory fraud, offering fraud, broker-dealer regulation, corporate criminal liability, bank fraud, money laundering, tax offenses, perjury, and obstruction of justice.

    From 1992 through 1994, Bill worked in the SEC's Office of General Counsel, Appellate Litigation Group, and from 1994 through 1996, Bill served in the SEC's Division of Enforcement, New York Regional Office.

    Since 1996, Bill has been working in the U.S. Attorney's Office for the Southern District of New York. From 1996 through 2000, Bill served as a Special Assistant U.S. Attorney, working on a variety of matters, including an investigation into whether former junk bond icon Michael Milken violated the terms of his probation and SEC bar. In 2000, Bill began serving as an Assistant U.S. Attorney. Bill was a member of the team who investigated and prosecuted former WorldCom CEO Bernard J. Ebbers.

    Frank H.Wohl

    Lankler Siffert & Wohl LLP

    Frank H. Wohl is a partner in Lankler Siffert & Wohl LLP. His practice includes a wide variety of civil, white-collar criminal and regulatory matters. He has acted as counsel for individuals and entities in trials, arbitrations, appeals and investigations and as an arbitrator in commercial arbitrations. From November 2010 through November 2012, he served as President of the Federal Bar Council and is currently President Emeritus of that organization. He is also a member of the Departmental Disciplinary Committee of the New York Supreme Court, Appellate Division, First Department and a member of the Attorney Panel of the Grievance Committee of the United States District Court for the Southern District of New York. Previously Mr. Wohl has served as the Chair of the New York City Civilian Complaint Review Board, a member of the Board of Directors of the New York Council of Defense Lawyers, and as the court-appointed RICO Administrator of the Fulton Fish Market. Mr. Wohl is a Fellow of the American College of Trial Lawyers and routinely appears in Best Lawyers in America for Bet-the-Company Litigation, Commercial Litigation and Criminal Defense White Collar; Chambers USA, America’s Leading Lawyers for Business; Legal 500; New York Super Lawyers, and other similar publications. Mr. Wohl has chaired numerous New York City Bar programs on ethical and strategic issues in corporate investigations and has appeared as a panelist at American Law Institute-American Bar Association and American Conference Institute programs and as a faculty member in NITA trial practice and civil discovery programs. From 1971 until 1979 he served as an Assistant United States Attorney in the U.S. Attorney’s Office for the Southern District of New York, where he was appointed Deputy Chief of the Criminal Division and, subsequently, Chief of the Civil Division. From 1967 to 1971, he served in the Judge Advocate General Corps of the United States Naval Reserve.

    Karen PattonSeymour

    Chief, Criminal Division
    United States Attorney Office (SDNY)

    No bundle available.
    Pricing Information

    Ethical Considerations for Corporate Investigations: Update 2008



    Back to Search Results

    Firm Name:

    Firm Name:

    © 2018 ALM Media Properties, LLC. All rights reserved
    Live Chat