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Program Description

Current Ethical Issues in the Practice of Securities Law




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

This program will address ethical and legal issues that corporate and outside counsel face in advising corporations, directors and officers, handling shareholder and derivative suits, and responding to government investigations. The program will present a scenario involving the discovery of possible accounting irregularities at a public company in which panelists will role play various parts, including that of corporate counsel, outside counsel, auditor's counsel, and SEC counsel. Topics will include attorney-client privilege when representing a corporate entity, multiple representations, issues regarding internal investigations, responses to client misconduct, issues dealing with outside auditors, and the impact of the Sarbanes-Oxley legislation. This program?s updated content will entitle attendees to CLE credit if they attended the 2007 program.

Provided By: New York City Bar

  • Introduction
  • Issues for In-House Counsel
  • Issues Regarding Outside Auditors
  • Issues Regarding Civil Litigation
  • Issues Regarding the SEC
  • Issues Regarding the Board
  • 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,ME,ND,NJ,NY,WV

    Experienced attorneys only (non-transitional)

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    Panelist Biographies


    Willkie Farr & Gallagher

    Michael R. Young is a litigation partner at New York's Willkie Farr & Gallagher where he concentrates on securities and financial reporting with a particular emphasis in accounting issues. He is also the Co-Chair of the firm¿s Litigation Department and of its Securities Litigation and Enforcement Practice Group. Named by Accounting Today as one of the top 100 most influential people in accounting, Mr. Young has represented officers, directors, audit committees, accounting firms, investment banks, and companies in United States and international securities class actions, SEC proceedings, and special investigations. His trial work includes the landmark victory for the defense in the first class action tried to a jury pursuant to the Private Securities Litigation Reform Act of 1995. Mr. Young has served as a member of the Financial Accounting Standards Advisory Council to the Financial Accounting Standards Board and also serves as counsel to the American Institute of Certified Public Accountants and the newly-formed Center for Audit Quality. A prolific author on the subjects of financial reporting, audit committee effectiveness and the role and responsibilities of the independent auditor, Mr. Young's publications include The Financial Reporting Handbook (Aspen 2003) and Accounting Irregularities and Financial Fraud (Aspen 3d ed. 2006). Mr. Young is a much sought commentator on accounting issues, and has been regularly quoted in such publications as The Wall Street Journal, The New York Times, Fortune, Forbes, USA Today, The Washington Post, and The National Law Journal. He has also appeared as an invited guest on CNN, MSNBC, CNBC, and BNN (Canada). Mr. Young is a graduate of Allegheny College and the Duke University School of Law, where he was Research and Managing Editor of the Duke Law Journal.


    Milbank, Tweed, Hadley & McCloy LLP

    Andrew E. Tomback is a partner in the Litigation Department of Milbank, Tweed, Hadley & McCloy LLP. Mr. Tomback served as an AUSA in the Criminal Division of the U.S. Attorney's Office for the Southern District of New York. He tried 12 cases to conviction and successfully argued numerous cases before the Second Circuit. From 1993 through 1995, Mr. Tomback was Senior Advisor to the Under Secretary for Enforcement at the Department of the Treasury, where he played an integral role in the passage of the Brady Bill, the assault weapons ban and the Crime Bill. Prior to joining Milbank, Mr. Tomback was Deputy General Counsel (Litigation) of the RTC, where he managed several hundred attorneys handling federal savings and loan resolutions. Mr. Tomback received his B.A. summa cum laude and Phi Beta Kappa from Yale College. He received his J.D. from Yale University. He was Editor of the Yale Law Journal.

    Pierre Gentin

    Managing Director and Head of Litigation
    Credit Suisse

    Pierre Gentin is a Managing Director and Global Head of Litigation for Credit Suisse. He is also the firm's Head of Reputational Risk for the Americas. Mr. Gentin joined Credit Suisse in 1998 from the U.S. Department of Justice where he served as Assistant United States Attorney for the Southern District of New York. Before that, he practiced law at Dewey & LeBoeuf. Mr. Gentin has taught law as Adjunct Professor of Law at Fordham University and he currently serves as a Trustee of the Practicing Law Institute. The World Economic Forum named Mr. Gentin to its Forum of Young Global Leaders in 2008 and he currently serves on the Forum's Global Agenda Council on Values. Mr. Gentin received his AB magna cum laude, Phi Beta Kappa, from Princeton University in 1989 and his JD from Columbia University in 1992.

    Daniel Kramer

    Co-chair, Securities Litigation and Enforcement
    Paul, Weiss, Rifkind, Wharton & Garrison LLP

    Daniel J. Kramer is Co-chair of the Securities Litigation and Enforcement Group at Paul, Weiss, Rifkind, Wharton & Garrison LLP. Mr. Kramer is a leading trial lawyer and litigator with extensive experience in securities matters and internal investigations. He has handled complex litigations for some of the world's largest companies and has significant experience representing boards of directors on corporate governance issues and special committees in internal investigations. Mr. Kramer has been selected as one of the leading securities lawyers in the United States by Chambers, as one of America's leading lawyers handling "Bet the Company" litigation by Best Lawyers in America and as one of New York's Top 100 Lawyers by Super Lawyers. Mr. Kramer is the coeditor of Corporate Internal Investigations: An International Guide and co-author of Federal Securities Litigation: A Deskbook for the Practitioner and of Regulation of Market Manipulation. Mr. Kramer graduated magna cum laude from Wesleyan University in 1980 and from NYU Law School in 1984. He served as a law clerk to the Honorable Wilfred Feinberg, Chief Judge of the United States Court of Appeals for the Second Circuit.

    Barry Rashkover

    Partner, New York Litigation Group
    Sidley Austin LLP

    Barry W. Rashkover is a partner in Sidley Austin's New York Litigation Group and co-global coordinator of its SEC Enforcement Practice Group. His practice focuses on representing companies and individuals in investigations and enforcement cases brought by government agencies and other regulators including the SEC, FINRA, other self-regulatory organizations, state attorneys general and criminal authorities. Mr. Rashkover generally represents Wall Street financial services firms, investment advisers, public companies, and individuals. Until June 2004, Mr. Rashkover was a senior official in the SEC's Enforcement Division where, among other positions, he served as Co-Head of Enforcement and Associate Regional Director for the SEC's Northeast Regional Office. He is a frequent speaker and writer on SEC enforcement and related issues. Mr. Rashkover received his J.D. from Cornell in 1986 and his A.B. from Columbia in 1983.

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    Current Ethical Issues in the Practice of Securities Law



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