Combatting Financial Fraud

Presented in cooperation with the NJSBA Criminal Law Section, the Securities Litigation and Regulatory Enforcement Special Committee, and the Federal Practice & Procedure Section

Every investor in American relies on fair financial markets. Financial fraud, whether in the form of accounting fraud (revenue recognition issues, auditor independence violations, audit committee negligence, foreign corrupt practices and auditor negligence and fraud), securities fraud (misrepresentation of securities information by brokers, brokerage firms, corporations or investment banks and insider trading), money laundering, Ponzi schemes, Foreign Corrupt Practices and other fraudulent activities saps investor confidence and erodes the integrity of the markets.

Companies and individuals engaged in offering or selling securities must be vigilant in their adherence to statues and regulations, and are often at risk for criminal or civil prosecution and penalties. Today whistleblowers provide a powerful source of information to the enforcers.

Join financial services litigator William A. Despo as he brings together a panel of top legal and financial industry experts to discuss their roles in investigating or defending financial fraud. This stellar panel is on the cutting-edge of current issues in financial fraud, and they are bringing their knowledge to you in two separate panels: one that focuses on criminal fraud and another that focuses on civil.

Topics include the latest issues in:
• Accounting fraud
• Enforcement activities
• Insider trading
• Whistleblower activities
• Financial Institution Regulatory Authority (FINRA) investigations
• Foreign Corrupt Practices Act (FCPA)
• Cooperation and more*

*The speakers will discuss the LATEST topics, including any new statutes, regulations or cases that are decided just prior to the program.

NJ CLE information: This program has been approved by the Board on Continuing Legal Education of the Supreme Court of New Jersey for 3.9 hours of total CLE credit.