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Program Description

Standards for Prosecuting Corporate Fraud by Federal & State Prosecutors & Agencies: The Impact of the Revised Justice Department Charging Guidelines




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

This CLE program will review the revised DOJ guidelines for prosecuting corporate fraud (adopted in August 2008) and related issues, including privilege waiver in the context of investigations by federal and state agencies and prosecutors who are not governed by the DOJ guidelines. The panel will feature federal and state prosecutors and practitioners who will discuss how the new charging guidelines have been applied in practice in the ten months since their adoption and how other agencies have addressed similar issues.

This program was recorded on June 23rd, 2009.

Provided By: New York City Bar

  • Introduction & Overview
  • Revised Justice Department Charging Guidelines
  • Practical Impact on Federal Investigations
  • Impact on Investigations by Prosecutors & Agencies Not Governed by the DOJ Guidelines
  • Ethical Considerations
  • Practical Considerations
  • Questions & Answers

    This program was recorded on June 23rd, 2009.

  • 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,MO,ND,NJ,NY,WV

    Experienced attorneys only (non-transitional)

    Similar Programs

    No related programs information available.

    Panelist Biographies

    Richard Preiss

    state prosecutor
    New York County District Attorney's Office

    Richard T. Preiss has been a state prosecutor in the New York County District Attorney's Office for over twenty-eight years. He started prosecuting street crime in 1980 after graduating from law school. Beginning in 1990, he began working on white-collar crime cases including thefts, fraud, money laundering, securities fraud, enterprise corruption, commodities fraud, international bank fraud and tax fraud. Mr. Preiss has published articles in both the United Kingdom and the United States on topics including international criminal investigations and prosecutions, the effect of bank secrecy laws of foreign jurisdictions upon criminal investigations and prosecutions, and electronic money transfers involving the smart card. He has been a frequent guest speaker at the Cambridge Symposia on Economic Crime at Jesus College, University of Cambridge, England.


    Executive Vice President

    Susan L. Merrill is Executive Vice President, Chief of Enforcement, at FINRA. Ms. Merrill has overall responsibility for management of the Enforcement Department and direction of investigations and litigation involving FINRA member firms for violations of federal securities laws and FINRA rules. Ms. Merrill was Chief of Enforcement at the New York Stock Exchange from 2004 to 2007. When NYSE Member Regulation consolidated with NASD to form FINRA in 2007, Ms. Merrill began serving in her current role. Prior to joining NYSE, Ms. Merrill was a partner at the law firm of Davis Polk & Wardwell. Ms. Merrill joined Davis Polk in 1987 and became a partner in 1994. Prior to joining Davis Polk & Wardwell, Ms. Merrill was a judicial clerk for the Honorable Francis Van Dusen of the United States Court of Appeals of the Third Circuit from 1986 to 1987. A cum laude graduate of the University of Maryland in 1979, Ms. Merrill received her J.D., summa cum laude, from Brooklyn Law School in 1986, where she was executive articles editor of the Law Review and the recipient of the William Payson Richardson Scholarship.


    Boies, Schiller & Flexner LLP

    Harlan A. Levy is a partner in the New York City Office of Boies, Schiller & Flexner LLP. Mr. Levy practices white collar criminal defense and business litigation. He is the Chair of the Council on Criminal Justice of the New York City Bar Association. He served as an Assistant District Attorney in Manhattan in the office of Robert M. Morgenthau and as Law Clerk to Judge Leonard P. Moore of the United States Court of Appeals for the Second Circuit.

    Marilyn Kunstler

    Boies, Schiller & Flexner LLP

    Marilyn C. Kunstler is a partner in the New York office of Boies, Schiller & Flexner LLP, specializing in complex commercial and securities litigation, internal investigations and corporate governance reviews. Ms. Kunstler has represented private equity investors, investment banks, hedge funds, accounting firms, corporations and boards of directors in a wide variety of matters in state and federal courts around the country, including securities class actions, shareholder derivative suits, bankruptcy litigation, and Congressional, SEC, federal and state investigations, as well as numerous internal investigations. Ms. Kunstler is a member of the Board of Directors of the New York Woman's Bar Association Foundation, Inc.; the Board of Trustees for the New York Fair Trial/Free Press Conference; and the Government Ethics Committee of the New York City Bar.  She was one of the founding members of the Advisory Group of the New York State-Federal Judicial Council and served as Co-Chair from 2000-2007. She is a graduate of Columbia Law School, where she was an editor of Columbia Law Review, and was a law clerk to the Honorable Robert R. Beezer of the United States Court of Appeals for the Ninth Circuit.

    Jeffrey Goldberg

    Senior Trial Counsel
    United States Attorney's Office

    Jeffrey A. Goldberg is a Senior Trial Counsel in the Business & Securities Fraud Section of the United States Attorney's Office for the Eastern District of New York. Since joining the United States Attorney's Office in 2003, Mr. Goldberg has handled a number of notable cases, including a vast eight-year"pump and dump" conspiracy perpetrated by organized crime members and associates, the prosecution of a National Basketball Association referee who provided gambling picks on games he officiated, and the prosecution of what is considered the largest consumer fraud case in United States history ¿ the Gambino organized crime family¿s use of pornographic websites and "toll-free" telephone numbers to defraud thousands of people throughout the country. Mr. Goldberg has also tried numerous cases to verdict, including trials involving tax fraud, structuring, extortion, drug trafficking, illegal gun possession, robbery, witness tampering, racketeering, and murder, and he has frequently argued before the United States Court of Appeals for the Second Circuit. Before joining the United States Attorney¿s Office, Mr. Goldberg was a litigation associate with Skadden, Arps, Slate, Meagher & Flom in Washington, D.C., where he advised corporations and individuals in connection with a wide variety of civil and white collar criminal proceedings. From 1998 to 2000, he clerked first for the Honorable James A. Beaty, Jr., in the Middle District of North Carolina, and then for the Honorable Ronald Lee Gilman of the United States Court of Appeals for the Sixth Circuit. Mr. Goldberg is a 1998 graduate of the New York University School of Law, and a 1992 graduate of Lehigh University, where he studied accounting. From 1992 to 1995, Mr. Goldberg worked at Arthur Andersen LLP, where he became a certified public accountant. Mr. Goldberg is a member of the New York City Bar Association's Government Ethics Committee and he has taught at Brooklyn Law School.

    Professor Bruce Green

    Louis Stein Professor
    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 Vice 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.

    Andrew M. Calamari

    Director, New York Regional Office
    U.S. Securities and Exchange Commission

    Andrew M. Calamari is the Director of the Commission’s New York Regional office. He served as Associate Director and co-head of Enforcement in New York for eight years before assuming his present position. Before coming to the Commission in 2000, Mr. Calamari was engaged in private law practice for nearly 15 years, including as a litigation partner at Donovan Leisure Newton & Irvine. He has co-authored a treatise on Complex Litigation and is co-author of the securities litigation chapter in a Matthew Bender treatise on securities law.


    Howrey LLP

    Gregory G. Ballard is chair of the Government Ethics Committee of the New York City Bar. He is a partner in the global litigation practice of Howrey LLP and a member of the management committee in the firm¿s New York office. He represents clients in securities and other complex commercial litigation matters in state and federal courts, as well as in regulatory investigations, enforcement actions, and internal investigations. He received his B.A. from Columbia College and his J.D. from Columbia Law School, where he was a Notes and Comments Editor on the Columbia Law Review, a Harlan Fiske Stone Scholar, and a recipient of the James A. Elkins Prize in Criminal Law.

    No bundle available.
    Pricing Information

    Standards for Prosecuting Corporate Fraud by Federal & State Prosecutors & Agencies: The Impact of the Revised Justice Department Charging Guidelines



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