PLI's Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2018

Practising Law Institute

Speaking Engagement | September.05.2018 | 9am - 5pm (Eastern Standard Time)

PLI New York Center (Webcast and Groupcast Locations available)

Please join Orrick partners Richard Morvillo and Ellen Murphy on September 5 for PLI's Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2018, where Rich will be serving as Chairperson of the program.

This seminar will discuss a variety of topics concerning the responsibilities and conduct of gatekeepers and will provide practical advice dealing with the government’s increased policing of the activities of gatekeepers. This program is designed for in-house counsel, compliance professionals and outside lawyers who represent them.

Rich will be moderating two panels: The first, The Responsibilities of In-House Counsel and Compliance Personnel, and the second, Is Everything Privileged? Limitations on Privilege in the Compliance Area, alongside Ellen Murphy, who will be participating in the panel discussion.

What you will learn:

  • The inherent risks and responsibilities of gatekeepers.
  • How to identify “red flags” and respond to them adequately.
  • What limitations exist on privilege in the compliance area.
  • How to defend a gatekeeper under investigation.
  • How the government thinks of the gatekeeper role.
  • Takeaways from recent gatekeeper investigations.

CLE Credits Available: Y

Practice:

  • Trials
  • Financial Services Litigation
  • White Collar, Investigations, Securities Litigation & Compliance
  • Government Investigations and Enforcement Actions
  • Securities Litigation, Class Actions and Shareholder Derivative Lawsuits

Richard J. Morvillo Partner Trials, Financial Services Litigation

Washington, D.C.; New York

Richard J. Morvillo, a partner in our New York and Washington, D.C., offices, is a nationally recognized expert in SEC enforcement and other white-collar matters.

Over the past 40 years, Rich has been involved in more than 250 SEC investigations, including some of the highest profile cases the SEC has handled. He also has extensive experience in FCPA cases, securities related white-collar criminal matters and private securities litigation. A former branch chief with the Securities and Exchange Commission’s Division of Enforcement, Rich represents corporations, corporate executives, brokerage firms, investment advisers, accounting firms, auditors, law firms, hedge funds and individual investors in connection with SEC, PCAOB, NYSE, FINRA, congressional, state attorney general and grand jury investigations; SEC litigation; and complex securities cases.

Though Rich has been involved in far too many cases to name, he had a significant role in various important matters, including: several CDO and RMBS investigations of investment banks and collateral managers; SEC and criminal investigations of Enron; investigations and litigation concerning possible insider trading involving the securities of Dick’s Sporting Goods, Liberty Media, Capital One, Prestige Brands; investigations and litigation concerning trading by NYSE specialists; investigations of alleged FCPA violations by various financial institutions; investigations and litigation concerning merger activities of Wachovia Corporation and National City Corporation; investigations concerning transactions by MGIC, Royal Dutch Shell, HSBC, Lernout & Hauspie, Aetna, Denso Corporation, AG Edwards, Merrill Lynch and Credit Suisse; investigations concerning the financial statements and/or audits of Orange County, Citi, Navistar, Autonomy, Bally’s, CarMax, SteinMart, and Allegheny Health Systems; investigations into marketing and other activities of registered investment advisors (including Smith Barney Asset Management, Family Endowment Partners, UBS Asset Management, F Squared and Harbinger) and ETF sponsors (including Pro Shares and, Wisdom Tree Investments); internal investigations at a Fortune 10 retailer, Aon Corporation, E*Trade, Nash Finch Corporation and TD Ameritrade; investigations and litigation related to alleged pricing violations by NASDAQ traders; investigations of auditing firms and audit partners from KPMG, E&Y, D&T, Friedman, and PWC International and Congressional investigations concerning, among others, Goldman Sachs and Riggs National Corporation.

Rich has litigated to a successful judgment a number of SEC enforcement cases and defended numerous class actions and shareholder derivative suits in federal courts throughout the country. Rich has also conducted many internal investigations for corporations, and advised members of numerous special committees of boards of directors as to their rights and obligations regarding the handling and evaluation of corporate transactions, internal investigations and shareholder litigation.

He was named by Best Lawyers in America as the “2013 Lawyer of the Year – Securities Litigation,” and Chambers USA has recognized Rich as “one of the deans of the securities enforcement bar.”  Rich is also listed as a leading litigator in numerous other peer-review publications, including Benchmark Litigation, The Legal 500 United States, Ethisphere: Attorneys Who Matter, Washington DC Super Lawyers, The Legal Times, which named him one of Washington’s “Top 10 Securities Lawyers,” Washingtonian Magazine and Who’s Who Legal: Investigations. He is a frequent speaker at professional seminars and serves as the co-chair of two PLI annual programs: “Internal Investigations” and “Auditor Liability.” He has served on the adjunct faculty of Georgetown University School of Law, teaching a course in “Professional Responsibility in Corporate and Securities Practice.”

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Practice:

  • Government Investigations and Enforcement Actions
  • Financial Services Litigation
  • Trials
  • White Collar, Investigations, Securities Litigation & Compliance
  • Securities Litigation, Class Actions and Shareholder Derivative Lawsuits

Ellen M. Murphy Partner Government Investigations and Enforcement Actions, Financial Services Litigation

New York

Ellen Murphy has represented individuals and organizations in a variety of civil, criminal and regulatory matters.

Her practice focuses on white-collar defense and complex civil litigation. Her cases have involved allegations of public corruption, securities fraud, mail and wire fraud, SEC investigations, securities class actions and complex commercial litigations.

Ellen has significant experience litigating almost every aspect of civil and criminal cases and also has extensive experience handling mediations and all aspects of arbitrations. Ellen has tried criminal cases to verdict and arbitrations to final decisions. She has represented both individuals and corporations under investigation by the Department of Justice, the Securities and Exchange Commission, the District Attorney’s Office, the Commodity Futures Trading Commission, and FINRA. She also has represented both companies conducting internal investigations and individuals in connection with those investigations.