Financial Fraud: A 2013 Perspective
Financial crimes involving fraud are becoming ever-more sophisticated and widespread. Companies need to be hyper vigilant in detecting and preventing fraud as they face losses from the fraud itself and the fallout from lawsuits initiated by customers suffering. In this two-hour live webcast, our panel of experts will provide insights on detecting and preventing fraud. Speakers will also conduct a thorough discussion on the most critical issues, including:
- Increased Penalties for Certain Fraud Offenses and recent amendments to fraud guidelines.
- Online fraud and online fraud prevention tools
- Recent Fraud Trends and Cases
- Effective strategies to protect your company from fraud
- Importance of raising awareness to mitigate potential fraud
- Up to the minute regulatory developments
Stay informed! Join this LIVE webcast and hear our panel of thought leaders as they provide insight on financial fraud, along with training and other best practices for managing potential risk that may occur.
Peter J. Anderson, Partner,
Sutherland Asbill & Brennan LLP
Daniel L. Stein, Partner,
Richards Kibbe & Orbe LLP
Ordering the Client’s Priorities and Helping the Client Understand what is Important in a Financial Fraud Investigation or Prosecution
- Priorities for Your Client:
- Keep your freedom , i.e., stay out of jail at all costs
- Keep from getting “charged” in the first place, avoid becoming a defendant, civil or criminal
- Keep one’s job
- Keep your accumulated wealth
- Keep your head held high
- Potential Outcomes
- Who Pays for the Defense for the Defendant Target or Subject in a Governmental Investigation/Prosecution Involving Claims of Financial Fraud
- The SEC Claims to be Scrutinizing More Closely Multiple Representations in the Same Matter by a Single Law Firm. Are Other Regulators and Prosecutors Following the SEC’s Lead?
- “Lawyering Up”
Prosecutors Continue to Wrestle with the Interplay Between Individual and Corporate Liability, as Those Issues Draw Increased Scrutiny from Courts and the Public.
- Crisis Management Depends on Which Side of the Corporate Desk You Are Sitting On
- Crisis Prevention
- Crisis Response
- Cooperating with the Government
- Is There Benefit to Self-Reporting?
- Is There Benefit to Cooperating?
- Asserting One’s Fifth Amendment Privilege
- Whistle Blowers
- Is Someone “Whistling” While You Work?
- Dodd Frank Provisions
- Some People Just Can’t Whistle
- Special Committees: Is the Company a Friend or Foe?
- Civil Enforcement Attorneys are Increasingly Requiring Settling Firms to Include Broad Admissions of Wrongdoing, Which Can Have Long-term Consequences.
David Gannaway, MBA, CFE, CAMS, EA, Principal,
- International fraud involving foreign banks and U.S. taxpayers;
- Business divorce between shareholders;
- Due diligence before forming or investing in an ongoing business.
Who Should Attend:
- Internal Auditors of All Levels
- CEOs and CFOs
- Internal and External Auditors
- Corporate Financial Officers
- Security Operations
- Fraud Monitoring
- Business Analysts
- Fraud Analysts
- Corporate Security
- Other Related Professionals
Peter J. Anderson, a partner at Sutherland Asbill & Brennan LLP, represents public companies, their officers and directors, along with financial services companies, accounting and law firms and their principals in SEC enforcement actions, DOJ investigations and criminal prosecutions, and complex civil litigations. Peter also represents brokerage firms, broker/dealers and individual brokers before the SEC, all self-regulatory organizations, and state securities regulators and attorneys general in investigations relating to supervision, suitability, sales practices and insider trading.
His securities litigation experience includes the defense of multi-district class actions, as well as the defense of financial services and accounting firms in more than 40 federal and state jury trials and in numerous complex securities arbitrations.
Peter’s principal outside interest and passion is his involvement in ServeHAITI, a 501(c) (3) nonprofit organization that provides medical care and treatment to people residing in the mountains of Haiti through the operation of a full service medical facility. Peter is ServeHAITI’s Treasurer and a founding member of its Board of Directors.
Peter J. Anderson, a partner at Sutherland Asbill & Brennan LLP, represents public companies, their officers and directors, along with …
Daniel L. Stein is a partner in the Firm’s Litigation Department. Mr. Stein represents institutional and individual clients in regulatory enforcement matters, criminal investigations, and complex civil litigation in state and federal courts. He also advises institutional clients regarding regulatory enforcement and compliance matters. His clients include financial institutions, hedge funds, corporations, investment bankers, attorneys, brokers, traders and other investment professionals. Mr. Stein is an experienced trial lawyer and appellate advocate, who has tried more than a dozen cases to verdict before courts and juries and argued numerous appeals. He has experience counseling clients and conducting internal investigations with regard to investigations conducted by the Department of Justice, various United States Attorney’s Offices, the New York Attorney General, the SEC, FINRA, the United States Department of Labor, the Manhattan District Attorney, the FBI, and other law enforcement agencies.
Daniel L. Stein is a partner in the Firm’s Litigation Department. Mr. Stein represents institutional and individual clients in regulatory …
David Gannaway, MBA, CFE, EA is a principal in the firm’s Valuation & Forensic Services group. He is responsible for providing litigation consulting services in the areas of internal investigations, shareholder disputes, civil tax controversies and criminal defense. David joined Citrin Cooperman in March 2011 and is based in the firm’s New York City office.
A former Assistant Special Agent in Charge of the New York office of IRS Criminal Investigation, David is a financial fraud investigative specialist with experience in conducting and supervising white-collar crime investigations. He has extensive experience in representing clients before the IRS in the “Offshore Voluntary Compliance Program” involving international taxation and the disclosing of Foreign Bank Accounts under the Bank Secrecy Act. He also provided fraud and anti-money laundering training to corporations and government agencies.
David Gannaway, MBA, CFE, EA is a principal in the firm’s Valuation & Forensic Services group. He is responsible for …
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About Sutherland Asbill & Brennan LLP
Sutherland Asbill & Brennan LLP is a law firm with global reach known for solving challenging business problems and resolving sophisticated legal issues for many of the world’s largest companies. Founded in 1924, the firm handles matters throughout the United States and worldwide. Seven major practice areas—corporate, energy and environmental, financial services, intellectual property, litigation, real estate, and tax—provide the framework for an extensive range of focus areas, allowing Sutherland attorneys to serve a diverse client base that ranges from small and medium-sized start-up businesses to a significant number of Fortune 100 companies.
About Richards Kibbe & Orbe LLP
Richards Kibbe & Orbe LLP is a dynamic and entrepreneurial firm with deep experience and relationships in the financial markets and the business community. We conduct a highly collaborative practice through approximately 85 lawyers based in New York, Washington, D.C. and London. Our practice covers a complex range of issues facing companies in the investment and business sectors. Our clients include hedge funds, private equity investors, investment banks, broker-dealers, investment advisers, insurance companies, accounting firms and a variety of other private and public enterprises. We also represent corporate boards of directors, board committees and individual corporate officers and directors
About Citrin Cooperman
Citrin Cooperman (www.citrincooperman.com) is a full-service accounting and consulting firm, providing a range of attest, assurance, tax, business advisory, valuation and forensic accounting services to clients across the globe. Citrin Cooperman has deep experience in a variety of industries, including entertainment, real estate, staffing and executive search, not for profit, architecture and engineering, auto dealerships, franchising and technology. Founded in 1979, Citrin Cooperman is an independent member firm of Moore Stephens.