December 11, 2012
4:00-5:00 p.m. EST
Pepper Hamilton Philadelphia Office
3000 Two Logan Square
Eighteenth and Arch Streets
Philadelphia, Pennsylvania 19103-2799
(videoconference to Pepper offices with registered participants)
1 Ethics CLE
Insider trading has been the focus of investigations and prosecutions by the Securities and Exchange Commission and Justice Department for many years. Lawyers routinely receive confidential information from their clients which might affect the decision to buy or sell stock or other securities in one company or another. What type of information is “material, nonpublic” information in connection with a securities transaction? What are the penalties associated with improper use of such information? Where does the SEC and Department of Justice focus their investigations? Are lawyers particularly subject to scrutiny? What policies, if any, will provide protection?
We will examine these issues by discussing the pertinent legal landscape and the enforcement history. We then will introduce Pepper’s revised policy on confidentiality and insider trading to identify the steps Pepper has taken to reduce the risk in this area.
Our distinguished faculty will include:
John P. Duke: Mr. Duke is a partner in the Corporate and Securities Practice Group of Pepper Hamilton LLP, resident in the Berwyn office. Mr. Duke is co-chair of the firm’s Commercial Department and a member of the firm’s Executive Committee. Mr. Duke’s practice is devoted primarily to securities law compliance, corporate governance, mergers and acquisitions and public offerings. His practice includes representation of public and private companies in connection with various transactions and service as issuer’s counsel in public equity and debt offerings. Mr. Duke regularly counsels public companies on a wide range of corporate governance and compliance issues, and advises publicly traded companies in connection with hostile takeovers, the implementation of defensive measures and proposals by shareholder activists. Mr. Duke formerly served as a member of the firm’s Professional Responsibility Committee.
Jay A. Dubow: Mr. Dubow is a partner in the Philadelphia office of Pepper Hamilton LLP. He is a member of the White Collar Litigation and Investigations Practice Group and co-chair of the Securities and Financial Services Enforcement Group. Mr. Dubow focuses his practice on complex business litigation, with a special emphasis on defending against securities class action litigation and representing clients involved in investigations by the U.S. Securities and Exchange Commission, the Pennsylvania Securities Commission and various self-regulatory organizations. He also conducts internal investigations on behalf of clients. Mr. Dubow began his career as a branch chief in the Division of Enforcement of the U.S. Securities and Exchange Commission in Washington, D.C.
Daniel W. McDonough: Mr. McDonough is a partner in the Berwyn office of Pepper Hamilton LLP and a member of the Corporate and Securities Practice Group. Mr. McDonough devotes his practice to merger and acquisition transactions, corporate finance matters and general corporate advisory matters. Mr. McDonough’s practice includes representing public and private companies, as buyers and sellers, in transactions structured as mergers, stock or asset purchases, tender offers, recapitalizations and leveraged buyouts. He also counsels companies, including public companies, on a wide range of corporate governance and compliance issues. Mr. McDonough is an active member of the firm's Professional Responsibility Committee.
Hope A. Comisky: Ms. Comisky is a partner in the Philadelphia office of Pepper Hamilton LLP. She is a member of the Labor and Employment Practice Group and has extensive experience providing training and advice to clients as well as litigating employment-related disputes. She serves as the firm's Professional Responsibility Counsel, providing advice on all aspects of the Rules of Professional Conduct and related issues. Ms. Comisky also is Vice-Chair of the Professional Responsibility Committee at Pepper and a member of the Office of the General Counsel.
California CLE 1 Ethics
Delaware CLE 1 General
New Jersey CLE (Reciprocal) 1 Ethics/Professionalism
New York CLE 1 Ethics/Professionalism
Pennsylvania CLE 1 Ethics
For more information and to register, please contact Michelle Shapiro at 215.981.4079 or firstname.lastname@example.org.