Criminal Prosecutions Affecting Financial Firms – From a Defense Perspective

Professors Michael Considine and Jeffrey Plotkin ‘86

This course will provide an overview of the criminal law system and process and a substantive analysis of the criminal laws applicable to misconduct and fraudulent transactions in the financial services industry. In particular, it will address the criminalization of the securities and futures laws, Ponzi schemes, pay to play schemes such as bribes and kickbacks, banking fraud, the Foreign Corrupt Practices Act, global privacy acts, internal investigations, criminal sentencing and remedies, attorney-client privilege, and Fifth Amendment rights. The course will also address the roles required to be played by boards of directors, advisory committees, outside counsel, and auditing firms. (Open to LL.M. Students Only)