SEC, DOJ, FINRA, CFTC authorities to speak at securities fraud conference

 Kenneth A. Polite, Jr., U.S. Attorney for the Eastern District of Louisiana, will be the keynote speaker at the Ninth Annual National Institute on Securities Fraud hosted by the American Bar Association Criminal Justice Section on Nov. 13-14 at the Westin New Orleans Canal Place in New Orleans.


Polite will deliver the meeting’s opening remarks on Nov. 13, starting at 8:45 a.m.

Program highlights include:

• “Plenary Session: Year in Review” –– Officials from the U.S. Securities and Exchange Commission, Department of Justice, Financial Industry Regulatory Authority and the Commodity Futures Trading Commission will discuss the priorities in the area of securities fraud enforcement for 2015, as well as the successes and set-backs of 2014. Panelists include: Scott W. Friestad, SEC's associate director and special assistant to the director; Aitan Goelman, director of the CFTC's Division of Enforcement; and Marshall L. Miller, DOJ’s acting deputy principal assistant attorney general and chief of staff.

• “Foreign Corrupt Practices Act Matters: Pushing the Envelope on Enforcement and Penalties” –– Regulators and defense attorneys, including James M. Koukios, principal deputy chief of the DOJ’s Fraud Section, will analyze and explore the myriad factors and dynamics underlying the wide range of outcomes in FCPA investigations.

• “Wall Street to the Hill: The Continuing Evolution of Insider Trading Investigations” –– Panelists, including Benjamin D. Singer, DOJ’s deputy chief of securities fraud, will explore the latest insider trading cases and legislation, the SEC’s administrative proceedings, the Stop Trading on Congressional Knowledge Act and the House office of General Counsel’s Constitutional arguments rebutting the SEC’s overreach.

A complete agenda can be found online.

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