Duff & Phelps is hosting a breakfast symposium offering free CLE and unique insights from three former defendants involved in accounting fraud, fraudulent trading and alleged insider trading. The symposium provides an extraordinary opportunity for investors and legal and compliance professionals to journey inside the alleged frauds and understand the factors that may have caused internal compliance systems and processes not to detect or prevent the misconduct.
7:30 a.m. to 8:30 a.m. – Registration and Networking Breakfast
8:30 a.m. to 10:10 a.m. – Moderated Symposium and Q&A
- Todd Newman is a former hedge fund trader whose epic battle to overturn his conviction for insider trading resulted in the seminal “Newman Decision” on tippee liability. Todd will recount the circumstances that led to his arrest during a crackdown by federal prosecutors, his successful quest to overturn the conviction and the hard lessons to be learned from the process.
- Tom Hardin, known as "Tipper X," became the FBI’s most productive cooperating witness in Operation Perfect Hedge, a 2007-2008 sting operation that was the largest insider trading investigation in 25 years, leading to over 80 guilty pleas or convictions. Tom cooperated with the FBI after being charged with federal securities fraud for insider trading as a junior partner at a long-short equity hedge fund.
- Walter Pavlo was a central figure in the WorldCom accounting fraud, where he masked bad debts and embezzled over $6 million. Walter served 41 months in federal prison. He is now a leading speaker on white-collar crime.
Ken Joseph, Managing Director at Duff & Phelps and former Head of the SEC’s Investment Management Examination Program in New York and New Jersey, and a former supervisor in the SEC's Division of Enforcement. Ken has a unique combination of front-line expertise and experience in U.S. securities law, regulatory compliance, and corporate governance.
Norman Harrison, Managing Director at Duff & Phelps, who, as a former practicing attorney, investment banker and hedge fund principal, has wide-ranging expertise at the intersection of regulation and the capital markets. He advises clients in securities fraud and other white-collar investigations, prosecutions and regulatory proceedings (including extensive SEC and DOJ experience), and consults with investment funds and their portfolio companies on operations, risk management, due diligence and compliance issues. Norman has also led multi-disciplinary professional teams in DOJ and SEC monitoring and independent compliance consulting appointments.
Ann Gittleman, Managing Director at Duff & Phelps, is focused on providing expert forensic and dispute assistance in fraud; white collar matters; U.S. regulatory investigations involving the SEC and DOJ; internal investigations; purchase price and post-acquisition disputes; international asset tracing engagements; controls review; Foreign Corrupt Practices Act (FCPA); accounting and auditor malpractice matters; and related GAAP and GAAS guidance and damages.
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