White Collar Crime


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Tuesday, March 10, 2020

2:00 pm - 6:00 pm      

Wednesday, March 11, 2020

8:30 am        

9:00 am       
Significant Legal Developments in the Regions

A.        Northeast Region
Ronald G. White, Moderator
A. Joseph Jay. III
Kelly A. Moore
Allison O’Neil
Alexandre H. Rene
Paul A. Tuchmann

B.        South Region
William “Mitch” R. Mitchelson, Jr., Moderator
Erica Williamson Barnes
Jamila M. Hall
Jane Serene Raskin
J.D. Thomas
Anne M. Tompkins

C.        Central and Midwest Regions
Caryn L. Trombino, Moderator
Deborah A. Ellingboe
Linda L. Pence
Carole S. Rendon
Kevin W. Techau

D.        Western Region
Naeun Rim, Moderator
Angelo J. Calfo
Randy K. Jones
Kristen Tranezki
Jeff Tsai

These panels will discuss new developments and trends in each region to better inform attorneys of strategies and arguments used in litigating white collar cases.

10:15 am     
Coffee Break

10:30 am     
Breakout Sessions I

A.        TRIAL SKILLS – Fundamentals of Trial Practice I

Jane W. Moscowitz, Moderator
Hon. Paul D. Borman
Ellen C. Brotman
Kobie Flowers
Michael J. Satin

This panel will discuss the beginning stages of a trial, including the skills and techniques for presenting a defense to criminal charges, such as jury selection, developing theories and themes, opening statements, cross examination, and presenting Rule 29 motions.  Panelists will focus on both the gritty details and grand schemes of trial practice and provide advice on approaching each phase of a trial.

B.              Congressional Investigations: What White Collar Professionals Need to Know

Barry M. Hartman, Moderator
Ralph J. Caccia
Katie Biber Chen
Karen Elizabeth Christian
Susanne Sachsman Grooms

Congress is conducting investigations into a wide variety of industries. These are not oversight hearings, but are designed to investigate potential wrongdoing.  Panelists will discuss the different issues to consider when facing congressional investigative proceedings, responding to committee requests for records and information versus government subpoenas, the application of the Fifth Amendment and the attorney-client privilege, the role of counsel, and the various statutes that present potential criminal implications for someone testifying.

C.              International Extradition and Mutual Assistance

Sandra Moser, Moderator
Zainab N. Ahmad
Isabel Costa Carvalho
Nina Marino
Bruce Swartz (Invited)
Nick Vamos

Navigating complex cross-border issues is an essential part of white collar criminal practice.  This panel will consider the challenges associated with cross-border evidence gathering, mutual legal assistance and its alternatives, extradition, and the rise of both cooperation and competition among global regulators in prosecuting high-profile offenses, including where such competition results in competing extradition requests.   

D.        Environmental Crimes Enforcement Trends

David Gerger, Moderator
Lily N. Chinn
Deborah Harris
David O. Markus
Kim Ogg

This panel will analyze recent developments in this enforcement area, including the adoption of new policies by prosecutors, the manner in which they have been applied and the reaction of the courts, and will offer advice on adjusting defenses to this new environment.

E.        Money Laundering and Asset Forfeiture – Seizing Everything “involved in” Crimes

Ariel A. Neuman, Moderator
Deborah Connor
M. Kendall Day
Patricia Peláez
Susan Lea Smith

What to do when money laundering charges are used to assist in the forfeiture of assets.  The panel will discuss the latest trends and developments in this important area, what “involved in” means for forfeiture purposes, and whether this aggressive use of the statutes raises constitutional concerns.

11:45 am     
Luncheon with Zainab Ahmad, sponsored by ABA Women in White Collar and Women’s White Collar Defense Association

1:00 pm     
Welcoming Remarks

Caroline Judge Mehta
Kim Parker, Chair of the ABA Criminal Justice Section

1:15 pm     
General Counsel Forum

Rachel Brand
Viet D. Dinh (Invited)
Lucy Clark Dougherty
Matthew Friedrich
Jennifer Zachary

This panel of general counsel will discuss the realities GCs face in the current environment of global investigations and cooperation, and how they deal with them and navigate contacts, relationships, and inquiries with the DOJ, SEC, and other US and non-US regulatory bodies, including handling privilege waivers, joint defense agreements, protective orders, DPAs, NPAs, and more.

3:00 pm   
Coffee Break

3:15 pm  
Special Session – Conversation with the Enforcers & Regulators

Pamela Chepiga, Moderator
John Cronan
James M. McDonald
Steven R. Peikin

The directors of the SEC and CFTC Division of Enforcement and a Deputy Assistant Attorney General for the Criminal Division will discuss their current respective agency’s enforcement priorities.

4:15 pm  
Breakout Sessions II

A.        The Foreign Agents Registration Act: An Old Statute Roars Back to Life

Robert K. Kelner, Moderator
Amy Jeffress
Melissa L. Laurenza
William J. Murphy

The Act, which imposes criminal penalties on agents of foreign principals who fail to register and disclose their lobbying, political, and public relations activities in the United States, was enacted in 1938 but largely slipped into disuse after World War II.  Over the last few years, it has been used more aggressively, and the DOJ now has appointed a criminal prosecutor to lead the FARA Unit.  This panel will explore the uptick in enforcement, recent cases, and key issues in defending clients.

B.        Defenses to Criminal Tax Charges – What Works and What Doesn’t

Caroline D. Ciraolo, Moderator
Nathan J. Hochman
Paula M. Junghans
Sara G. Neill
Richard E. Zuckerman

There is a growing trend of expanding health care fraud, immigration, honest services, securities, and other offenses to include tax charges. Panelists will review the common tax and tax-related crimes, discuss common defenses – what works and what does not – share best practices, and analyze some recent declinations and acquittals.

C.        Compliance, Cooperation, and Monitorships: Current DOJ Policy

Jonathan S. Sack, Moderator
Prof. Roger A. Fairfax, Jr.
Matthew S. Miner
April Oliver (Invited)
Debra Wong Yang (Invited)

Panelists will discuss the framework for evaluating the effectiveness of compliance programs set out in the DOJ Manual and DOJ leadership pronouncements, as well as recent adjustments.  They will also consider the impact on compliance programs, cooperation, and the need for monitorships.

D.        Updates in Cybercrime and Corporate Compliance: Are We Fighting an Impossible Battle?

Joe D. Whitley, Moderator
Zachary Fardon
John Lynch
Dr. Lee-Anne V. Mulholland
Jessica K. Nall

Information security has now become an essential part of corporate compliance, although it has not slowed the magnitude and frequency of successful cyberattacks.  This panel will examine those trends and corresponding government enforcement and regulatory guidance.  They will share steps companies can take to comply with such guidance and proactively protect user privacy and critical data from intrusion.

E.        International Panel – Recent Legal Developments of Interest to US Lawyers

Monty Raphael QC, Moderator
Bruno L. Cova
Benjamin Grundler
Stephanie Lapierre
Felix Rettenmaier

Panelists from five different countries will discuss major developments in each of their respective jurisdictions that should be of particular interest to US white collar practitioners.

5:30 pm       
White Collar Crime Committee Meeting

6:00 pm       
Young Lawyers Reception

Thursday, March 12, 2020

8:00 am    
Registration Continues

9:00 am       
Opening Remarks

Raymond Banoun

9:20 am        
Lawrence Barcella, Jr. Memorial Address

Keynote Speaker: _____________________

10:00 am      
The Challenge of Judging in the 21st Century

Hon. Amy J. St. Eve, Moderator
Hon. Larry Alan Burns
Hon. Brian M. Cogan
Hon. Sara L. Ellis
Hon. Denise Page Hood
Hon. Amit P. Mehta

Six noted federal judges, led by United States Circuit Judge Amy St. Eve, will again consider some of the personal and professional challenges and difficult substantive issues they confront in the daily administration of justice, in particular in white collar cases.  This continuing annual judicial panel explores the evolving task of judging in the 21st century.

12:00 pm     
Lunch on Own

1:15 pm        
From FIFA to NCAA and Varsity Blues: The Trend of Enhanced Enforcement Efforts in Traditionally Self-Regulated Sectors 

Caroline Judge Mehta, Moderator
___________________ (FIFA)
Koren L. Bell
Joan McPhee
Mark C. Moore
Samuel P. Nitze

In the past few years, we have seen aggressive investigation and prosecution by federal prosecutors in the areas of domestic and international sports corruption and college admission.  This panel will explore this trend, focusing on the federal interest underlying these cases, the reason the DOJ invests resources into pursuing them, the legal theories used, and their jurisdictional bases, as well as the most effective defenses available, the results of those cases, and whether they resulted in lasting reforms.

2:30 pm       
Coffee Break

2:45 pm       
Breakout Sessions III

A.              The Foreign Corrupt Practices Act: Recent Developments and Government Priorities

Robert W. Tarun, Moderator
Charles E. Cain
Karen P. Hewitt
Daniel S. Kahn
Karen A. Popp

Panelists will review bribery enforcement during the past year, the DOJ and SEC priorities for 2020, new enforcement actions and policies in other countries including the United Kingdom, simultaneous negotiation of settlements with the DOJ, SEC, and foreign government anti-corruption agencies, and recent FCPA investigations in Asia, Europe, and South America.

B.        ETHICS – Corporate investigations and the changing landscape created by United States v. Connolly

Jennifer Z. Belveal, Moderator
Emily Allen
Charles E. Duross
Mark Filip
Mark P. Schnapp

Internal investigations have taken on a new complexity, particularly in light of the recent decision in US v. Connolly, in which the Southern District of New York expressed concern with the “outsourcing” of government investigations to corporations.  Are the ground rules for internal investigations shifting again?  Counsel for the company, individuals, and the DOJ must carefully navigate the legal and ethical landscape to protect their client’s interests and to avoid unintended consequences of cooperation.  

C.              Crisis Management – What’s a Lawyer and a Company To Do?

Janet I. Levine, Moderator
Bradford A. Berenson
Lane Dilg
Kristin Graham Koehler
Molly Levinson
Amy Pope
Ira H. Raphaelson

Panelists will address the legal and ethical implications of dealing with a crisis from “day one” onward, including the strategic and ethical implications of communications as an increasingly essential tool in mounting a vigorous defense, without breaching ethics rules or upsetting courts or prosecutors.

D.        Charged: First-Hand Accounts from White Collar Defendants and In House Lawyers for Companies that Faced Criminal Charges

Nanci L. Clarence, Moderator
Connie Lewis Lensing
Kevin Ring
Brad Stinn
Sharon Tomkins

After the indictment and the headlines, what is it like to live through the experience of being charged with a federal crime or to be the lawyer representing a company that is charged?  The panel focuses on the experiences of white collar defendants and the in-house lawyers who have navigated federal criminal investigations that resulted in charges against their companies.  Panelists will consider the immediate collateral consequences of indictment, the impact on family, friends, co-workers, and corporate culture, how the decision to testify or not was made, surviving a jury trial and sentencing, the journey to a decision to settle, and life after conviction and incarceration.

E.              Sentencing and the New First Step Act Risk and Needs Assessment System

James E. Felman, Moderator
Antoinette T. Bacon
Prof. Sara Sun Beale
Hon. William M. McSwain
John E. Wetzel (Invited)

The panel will discuss the Risk and Needs Assessment System recently unveiled by the Department of Justice pursuant to the First Step Act.  Depending on how defendants score under this new and complex system, they may be eligible for significant reductions in the time spent at a BOP facility.  The panel will discuss this new system and how it works, as well as other recent developments, and provide practical tips for effective sentencing advocacy.

4:00 pm       
Coffee Break

4:15 pm        
Breakout Sessions IV

A.        ETHICS – The Rule of Unintended Consequences – Ethical and Practical Considerations When the Client Is Under Investigation

Michael S. Pasano, Moderator
Kathy Keneally
Felicia V. Manno
Jennifer L. Saulino
Robert Zink

Business does not stop when investigations occur.  Businesses must continue to operate and important decisions must be made and implemented.  This panel will focus on the role of defense counsel in advising the client while under government scrutiny.

B.        Securities Enforcement in 2020: From Banks to Big Tech?

Antonia M. Apps, Moderator
Leslie R. Caldwell
Gary S. Lincenberg
Gary P. Naftalis
Damian Williams

Panelists will explore the current major focuses and trends in securities law enforcement, including recent focus on disclosure issues and IPOs in the tech industry, as well as the latest developments in insider trading, accounting fraud, valuation cases, and cryptocurrencies.

C.        Navigating the Pitfalls of Cross-Border Investigations 

Saverio Lembo, Moderator
Stephane de Navacelle
Norm Keith
Lorinda Laryea
Ibtissem Lassoued
Alison Saunders

Internal investigations trigger all kinds of legal issues when different jurisdictions are concerned.  Panelists will discuss the various obstacles (data privacy, state secrets, and blocking statutes, among others) that practitioners can face when conducting global investigations, in particular in Canada, France, the Middle East, Switzerland, and the United Kingdom.

D.        Health Care Fraud Enforcement – From the Travel Act to Telemedicine

Brian F. McEvoy, Moderator
Joseph Beemsterboer
Marissel Descalzo
Laura G. Hoey
Andrew Wirmani

This panel will discuss recent developments in the prosecution of health care fraud matters using evolving theories of criminal liability, such as the Travel Act and enhanced data mining in tele-health investigations.

E.        TRIAL SKILLS – Fundamentals of Trial Practice II

Sean Hecker, Moderator
Susan K. Bozorgi
Hon. Charles R. Breyer
Yasmin Cader
Melissa Mills
Anjan Sahni

This panel will provide advice on the presentation of the defense case at trial, in particular the skills and techniques for putting on one’s case, including with respect to the testifying defendant, direct examinations, closing statements, character witnesses, and jury instructions.  Panelists will focus on the practical nature of trial practice and demonstrate how to manage each step of the trial.

5:30 pm       
End of day

5:30 pm - 7:30 pm     
Cocktail Reception – Sponsored by Zuckerman Spaeder LLP

Friday, March 13, 2020

9:15 am       
Keynote Speaker  

Prof. Eugene F. Soltes, Harvard Business School

9:45 am       
ETHICSPrivilege Issues Post-Mueller Investigation

Morris (Sandy) Weinberg, Jr., Moderator
Prof. Lara Bazelon
Hon. Robert S. Brewer, Jr. (Invited)
John Keker
Kathryn H. Ruemmler
Prof. Ronald S. Sullivan, Jr.
James R. Wooley, Jr.

The panel will discuss a series of recent high profile ethics issues, including the repercussions experienced by Harvard Law Professor Sullivan as a result of his representation of Harvey Weinstein, the manner in which prosecutors obtain the testimony of cooperating witnesses through proffers from their lawyers and the resulting potential differences from their own testimony, the myriad of issues for pool counsel addressed by the recent New York City Bar of the City of New York ethics opinion, the attorney/client privilege issues and the crime fraud exception in the Greg Craig prosecution, several post-Mueller issues such as the dilemma of White House witnesses summoned before Congressional committees, and the DOJ essentially outsourcing investigations of companies to the firms representing them, turning private lawyers into prosecutors.

11:45 am    
End of Conference