Individual Viewer

Insider Trading 2014: New Developments in Investigating, Prosecuting & Defending Cases

Length: 1 hour 52 minutes

Insider trading continues to be a high enforcement priority for both the SEC and DOJ.  Both agencies have devoted unprecedented resources to investigating insider trading violations, continue to employ aggressive investigative techniques, and ventured into new substantive territories and prosecution theories.  The result has been a continuing heavy docket of criminal and civil investigations and prosecutions and a continuing effort to chart new ground in insider trading prosecutions.

At this program, a panel of experts will discuss the new frontiers being explored in recent cases.  The course will cover the following topics, among others:

•       Expanding definitions of “insider” status and materiality
•       Issues and defenses arising in cases involving remote tippees;
•       Insider trading involving commodities, futures and derivatives, debt and credit instruments
•       Enforcement of the Stock Act
•       Prosecution and defense strategies


6:00 pm – 6:10 pm Introduction of Panelists and Overview of Panel

6:10 pm – 6:30 pm Developments in Cases Involving Chains of Tippees
                                 — Case Study: U.S. v. Newman

6:30 pm – 6:50 pm Developments in STOCK Act Enforcement
                                 — Case Study: In re Height Securities

6:50 pm – 7:10 pm  Developments Involving Remedies Including Disgorgement and Asset Freezes
                                 — Case Study: U.S. v. Contorinis

7:10 pm – 7:30 pm Developments in Secondary Liability
                                 — Case Study: U.S. v. SAC Capital and SEC v. Cohen

7:30 pm – 8:00 pm Developments in the Trial of Insider Trading Cases
                                 — Case Study: SEC v. Cuban and U.S. v. Rengan Rajaratnam

CLE credit: New York: 2.0 professional practice; New Jersey: 2.2 general MCLE; California and Pennsylvania: 1.5 general MCLE.

Original Recording Date: 10/20/2014

Produced By:

New York City Bar Association

Course Materials

  • Coursebook
  • Affirmation of Self-Study