Mr. Goldfarb is a panel moderator and Mr.Melnick is a panelist for “What Hath It Wrought: Did the Financial Crisis Alter the Litigation & Enforcement Landscape”, Commercial Litigation panel, New York City Bar Association.
Mr. Comstock is a panelist for Regulatory Compliance Association “SEC Initiates Flash Boy Regulations – A Comprehensive Analysis.”
A former federal prosecutor and former SEC trial enforcement attorney will examine the federal government’s ongoing campaign against insider trading and securities fraud, and the risks presented to securities industry professionals. Based on actual insider trading cases they handled, Steven Feldman and Howard Elisofon will discuss techniques used by law enforcement to build its cases and ensnare individuals. They will provide an overview of the insider trading laws, along with examples of conduct that constitutes insider trading and examples of acceptable trading conduct. Feldman and Elisofon will suggest “best practices” to avoid liability, and examine gray areas that could lead to increased scrutiny. (New York Society of Security Analysts)
“SEC Enforcement’s Focus on the Asset Management Industry: Is it a New World?,” District of Columbia Bar, May 28, 2014
“Insider Trading Update,” Alternative Investment Management Association, New York, May 14, 2014
The 2014 Richmond Crowdfunding Symposium featured on Richmond's NBC 12 News. Join in the forum discussing equity crowdfunding and the impact of the SEC’s proposed rule to regulate it.