White Collar Practice
12 CLE credit hours including 1 ethics hour
November 14 – 15, 2013
Ritz-Carlton • Ten Avenue of the Arts • Philadelphia, PA
WELCOME
RECEPTION
Wednesday
November 13, 2013
5:30 p.m. – 7:00 p.m.
Welcome Reception at Capital Grille
1338 Chestnut Street
Come join your colleagues and make new
friends while we enjoy the atmosphere of
this award-winning restaurant.
2013 COURSE PLANNERS
Arthur T. Donato, Jr.,
Law Offices of Arthur T. Donato, Jr., Media
Michael J. Engle,
Greenblatt, Pierce, Engle, Funt & Flores, L.L.C.,
Philadelphia
SCHEDULE OF EVENTS
Thursday, November 14, 2013
8:00 a.m. – 9:00 a.m.
9:00 a.m. – 10:00 a.m.
(6 substantive CLE credit hours)
Registration and Continental Breakfast
The “New” SEC Enforcement Priorities and Defense
Strategies for 2013
Moderator: Thomas H. Lee II, Dechert LLP
Daniel M. Hawke, Director of SEC Phila. Regional Office
Mary Mulligan, Freidman Kaplan Seiler & Adelman LLP
10:00 a.m. – 11:00 a.m.
Criminal Law Trends at the Supreme Court
Moderator: Stephen A. Miller, Cozen O’Connor
Steven A. Engel, Dechert LLP
Courtney Gilligan Saleski, DLA Piper
11:00 a.m. – 11:15 a.m.
Break
11:15 a.m. – 12:15 p.m.
Money & Time: Sentencing Trends in Criminal Tax
Cases
Moderator: Peter D. Hardy, Post & Schell
Caroline D. Ciraolo, Rosenberg Martin Greenberg, LLP
Nathan J. Hochman, Bingham
Catherine M. Recker,
Welsh & Recker, P.C., Philadelphia
Robert E. Welsh, Jr.,
Welsh & Recker, P.C., Philadelphia
Location
The Ritz-Carlton is located at Ten Avenue of the Arts,
Philadelphia, PA 19102. Walk in the footsteps of America’s
forefathers and become a part of history. Stay in one of
America’s most venerable cities and absorb the character of
landmark buildings.
The Ritz-Carlton offers easy access to fine dining, shopping, and
the city’s business district.
For overnight reservations, call 800-241-3333.
12:15 p.m. – 1:45 p.m.
Lunch on your own, explore Center City Philadelphia and its
many excellent restaurants and shops.
1:45 p.m. – 3:15 p.m.
Navigating the Treacherous Path: Conducting Effective
Internal Investigations
Moderator: Michael A. Schwartz, Pepper Hamilton
Blake A. Coppotelli, Freeh Group International Solutions
Gregory A. Paw, Pepper Hamilton
3:15 p.m. – 3:30 p.m.
3:30 p.m. – 5:00 p.m.
Break
Terrorism Cases: Article III or Military Courts?
Moderator: Catherine M. Recker; Welsh & Recker, P.C.
James Joseph Benjamin; Akin Gump
Paul W. Butler, Akin Gump
5:00 p.m. – 7:00 p.m.
Cocktail Reception at the Ritz-Carlton
White Collar Practice
12 CLE credit hours including 1 ethics hour
November 14 – 15, 2013
Ritz-Carlton • Ten Avenue of the Arts • Philadelphia, PA
SCHEDULE OF EVENTS
Friday, November 15, 2013 (5 substantive CLE credits; 1 hour of ethics)
Thank You to this year’s sponsors
2013 Gold Sponsors
Dr. Elliott L. Atkins
Dechert LLP
Arthur T. Donato, Esquire
Welsh & Recker, P.C.
8:00 a.m. – 9:00 a.m.
Registration and Continental Breakfast
9:00 a.m. – 10:00 a.m.
When to Disclose, Whether and When to Repay: The
ACA’s Impact on White Collar Lawyering
Moderator: Virginia A. Gibson, Hogen Lovells
Lewis Morris, Adelman, Sheff & Smith, LLC
Marc S. Raspanti, Pietragallo, Gordon, Alfano, Bosik &
Raspanti, LLP
10:00 a.m. – 11:00 a.m. Anatomy of a Criminal Export Violation:
Investigation, Prosecution and Aftermath
Moderator: Meredith S. Auten, Morgan Lewis
Taylor Aspinwall, Deputy Criminal Chief, U.S. Attorney’s
Office EDPA
Margaret M. Gatti, Morgan Lewis
Elizabeth D. Peloso, Vice Provost, Office of Research
Services, University of Pennsylvania
11:00 a.m. – 11:15 a.m.
Break
11:15 a.m. – 12:15 p.m.
Federal Sentencing: How Tight is that Collar?
Moderator: Amy Baron-Evans, Federal Defender, Boston
Anne C. Flannery, Law Offices of Anne C. Flannery, LLC
Peter Goldberger, Law Offices of Peter Goldberger
12:15 p.m. – 1:45 p.m.
Lunch with Guest Speaker:
1:45 p.m. – 3:15 p.m.
Emerging Issues in State Grand Jury Practice:
Opportunities or Pitfalls
Moderator: Mark B. Sheppard, Montgomery McCracken
Laurel Brandstetter, Senior Deputy Attorney General for PA
Matthew H. Haverstick, Conrad O’Brien
3:15 p.m. – 3:30 p.m.
Break
3:30 p.m. – 5:00 p.m.
Getting Your Clients Out Alive: Representing Entities
and Their Representatives Before State and Federal
Grand Juries (Ethics)
Moderator: Mark A. Rush, K&L Gates
Thomas J. Farrell, Farrell & Reisinger, LLC
Joseph G. Poluka, Blank Rome
This seminar has been approved for 1 hour of ethics and 11 hours of substantive credit
hours by the Continuing Legal Education Board of the Supreme Court of Pennsylvania.
C A N C E L L AT I O N P O L I C Y
There will be no refunds after November 8, 2013 (a colleague may take your place
or your material will be sent to you). Cancellations prior to that date will be subject
to a $50 cancellation fee.
White Collar Practice
12 CLE credit hours including 1 ethics hour
November 14 – 15, 2013
Ritz-Carlton • Ten Avenue of the Arts • Philadelphia, PA
Please return this form no later than Nov. 5, 2013 with a
check made payable to PACDL and mail it to:
PACDL • 115 State Street • Harrisburg, PA 17101
R E G I S T R AT I O N
Seminar Prices:
Walk-ins will be accepted but
we cannot guarantee seating nor materials.
Prices include meals, social events and CLE reporting fees.
Telephone 717-234-7403. Fax 717-234-7462.
q
Attorney Registration
$600
q
Public Defender or Attorney in Practice Less than 5 Years
$545
q
Thursday Only (includes reception)$400
q
Friday Only (includes lunch with guest speaker)$400
Material will be supplied in electronic PDF format.
Save 10% if 3 or more people from one office attends.
SPONSORSHIP
OPPORTUNITIES
Opportunities are available to sponsor this year’s
White Collar Practice seminar. If you choose to be
a sponsor, please send your company name and a
high resolution logo (if available). You can
either email the text and logo to pacdl@aol.com or
mail it along with your check to:
PACDL • 115 State Street • Harrisburg, PA 17101
Social Events Only (or Guest) Prices:
q
One Wednesday Reception Ticket
$75
q
One Thursday Reception Ticket
$75
q
One Friday Luncheon Ticket
$75
Enclosed is $________
I will be attending the following:
q
Wednesday Reception
q
Thursday Reception
q
Thursday Seminar
q
Friday Seminar & Lunch
Pre-registration to all events is required.
q
Gold Sponsorship$3500
One seminar registration included, along with recognition on signs at social events & at
registration desk, and in course materials.
Address Information
Name____________________________________________________________________
Attorney ID_______________________________________________________________
q Silver Sponsorship$1500
Recognition on signs at social events & at
registration desk, and in course materials.
Mailing Address___________________________________________________________
q Patron Sponsorship - any amount under $1,500
FAX_____________________________________________________________________
The sponsorship deadline is
Friday, October 27, 2013.
Please return this form with a check made payable to
PACDL and mail it to:
PACDL • 115 State Street • Harrisburg, PA 17101
City_______________________________ State___________ Zip__________________
Phone___________________________________________________________________
Email____________________________________________________________________
Please note any dietary needs or needs related to disabilities:
________________________________________________________________________
Payment Information
q Pay by check
q Pay by credit card
Type of Card_____________________________ Expiration Date__________________
Card Number_______________________________ CVV Code*__________________
Name on Card____________________________________________________________
Billing Address____________________________________________________________
City_______________________________ State___________ Zip__________________
*Card Verification Value, the 3-digit number found on the back of Visa or Mastercard
or the 4-digit number on the front of American Express Cards.
White Collar Practice
12 CLE credit hours including 1 ethics hour
November 14 – 15, 2013
Ritz-Carlton • Ten Avenue of the Arts • Philadelphia, PA
SPEAKER BIOS
Taylor Aspinwall is the Deputy Criminal Chief of the Terrorism and National Security Unit of the U.S. Attorney’s Office, EDPA. The Terrorism and National Security Unit coordinates the federal law response to International and Domestic terrorism threats and directs the
state, federal, and local Joint Terrorism Task Force (JTTF).
Meredith S. Auten is a partner in Morgan Lewis’s Litigation Practice and is a member of the White Collar Litigation and Government
Investigations Practice. Ms. Auten concentrates her practice on the representation of corporations and individuals in all aspects of white
collar litigation. A significant portion of her practice involves defending Civil False Claims Act/qui tam actions.
Amy Baron-Evans is Sentencing Resource Counsel for the Federal Public and Community Defenders. She represents Defenders’
interests in sentencing policy matters, provides litigation support before the Supreme Court and courts of appeals, and teaches sentencing advocacy. Amy invented “deconstructing the guidelines” before Kimbrough v. United States was decided, and has authored or
contributed to briefs in each of the U.S. Supreme Court’s major sentencing cases after Booker. She has authored numerous articles on
federal sentencing law and policy and other criminal law issues, including the Crime Victims Rights Act, computer searches, and criminal
discovery, and a book chapter on attacking government witnesses.
James J. Benjamin Jr., the head of Akin Gump’s securities enforcement and litigation practice group, represents clients in a wide variety
of government and regulatory investigations and litigation. He also handles appellate and complex commercial litigation.
Laurel Brandstetter is a Senior Deputy Attorney General with the Pennsylvania Office of Attorney General where her primary focus is
the prosecution of public corruption. Ms. Brandstetter served as the lead prosecutor over several grand jury investigations concerning:
the Crawford County Treasurer’s Office, Rochester Borough, the Pennsylvania Gaming Control Board, former Representative Veon’s
control of a Beaver County Nonprofit, the Sherriff of Beaver County and the Pennsylvania Turnpike Commission.
Paul W. Butler, a partner at Akin Gump, represents companies and individuals in government and corporate internal investigations and
related civil litigation. He serves as a member of the firm’s litigation practice steering committee.
Caroline D. Ciraolo defends individuals and businesses in federal and state civil tax controversies, civil tax litigation, and criminal tax
investigations and prosecutions at Rosenberg Martin Greenberg, LLP.. She is a Fellow of the American College of Tax Counsel, a vicechair of the ABA Section of Taxation’s Civil and Criminal Tax Penalties Committee (“CCTP”), and former chair of the Maryland State Bar
Association Taxation Section (2008-2009). Caroline regularly appears on behalf of her clients before the Internal Revenue Service and
the Comptroller of Maryland. She litigates cases before the Maryland Tax Court, U.S. Tax Court, and the U.S. District Court, and handles
appeals before the Maryland appellate courts and the U.S. Court of Appeals for the Fourth Circuit.
Blake A. Coppotelli is the Managing Director of the Freeh Group International Solutions which he joined in May 2011. He previously had
a ten year career at Kroll Associates Inc. where he was responsible for advising public and private clients on complex issues focusing on
internal and external fraud investigations, government, regulatory, and corporate anti-corruption issues, financial and investigative due
diligence, internal corporate controls and governance, and ethics polices.
Steven A. Engel is a partner at Dechert LLP and has had a career spanning both private and public practice, and has developed significant expertise litigating high-profile trial and appellate matters and advising clients on the most sensitive and complex legal issues. Mr.
Engel also regularly counsels clients in connection with government, congressional, and internal investigations.
Thomas J. Farrell is a partner at Farrell & Reisenger, LLC and his practice focuses on criminal defense, ranging from pre-indictment investigations and negotiations and the representation of witnesses and victims, to trials, appeals and post-conviction petitions; from white
collar matters such as health care fraud, tax evasion, complex securities frauds, and environmental crimes, to capital murder. In addition,
he has extensive experience in civil rights litigation, commercial fraud litigation, corporate compliance and internal investigations and the
prosecution of qui tam or whistleblower claims in connection with government contracts. Ann C. Flannery has a solo federal criminal defense practice in Philadelphia. A former federal prosecutor, she has handled the defense
of a broad range of investigations and prosecutions including matters involving mortgage fraud, tax, government contracts, pharmaceuticals, health care, antitrust, securities and commercial business operations.
Margaret M. Gatti is a partner in Morgan Lewis’s International Trade & Economic Sanctions Practice. Ms. Gatti’s practice encompasses
export control and customs law, embargoed country regulations, international tax and trade law, government contracts, and Foreign Corrupt Practices Act (FCPA) matters.
Virginia Gibson is a partner at Hogan Lovells in its Investigations and White Collar Defense group. She focuses on internal investigations, defense against government investigations, and criminal and civil False Claims Act litigation in the life sciences and health indus-
White Collar Practice
12 CLE credit hours including 1 ethics hour
November 14 – 15, 2013
Ritz-Carlton • Ten Avenue of the Arts • Philadelphia, PA
SPEAKER BIOS
2013 Silver Sponsors
Briechle & Gelso, LLC
Conrad O’ Brien, P.C.
Cramer Swetz
& McManus, P.C.
tries. She has secured declinations and deferred prosecution from federal and state
prosecutors in several matters and represented companies and individuals through
civil settlements, criminal charges and sentencing. A federal prosecutor and trial
lawyer for over 20 years in Philadelphia and Delaware, she served variously as First
Assistant, Executive Assistant and Civil Chief in both U.S. Attorney’s offices. There
she prosecuted a number of significant pharmaceutical and health care cases, as
well as numerous other fraud matters.
Peter Goldberger is the founder and principal of a two-lawyer firm, located in
Ardmore, PA, which for over 25 years has focused its practice on the post-conviction
aspects of federal criminal cases, especially sentencing and appeals. Admitted to
appear before every Circuit, Goldberger has argued some 200 federal appeals. He
has been appointed on two occasions as counsel of record in federal sentencing
cases, and he has argued before the Supreme Court of the United States.
Peter D. Hardy is a Principal at Post & Schell’s Internal Investigations & White Collar
Defense Group. His practice focuses on the counseling and defense of corporations,
directors, officers, managers, professionals and others, across a broad spectrum of
industries, which may face allegations of business-related or other misconduct. Mr.
Hardy has significant experience in complex criminal matters at the investigative,
trial, and appellate levels. He also has focused legal knowledge and experience in
tax fraud, voluntary disclosures to the IRS, financial institution crime, money laundering, mortgage fraud, securities fraud, health care fraud, identity theft, public corruption, and allegations of civil fraud.
Patrons
James A. Backstrom, Esquire
Lindy & Tauber
Matthew H. Haverstick is one of the state’s leaders in representing government
officials and entities in matters ranging from public corruption investigations to the
legality of various state and local laws. Matt has represented individuals, as well as
corporations and government agencies (and their leaders), in statewide or county
grand jury investigations, and has taken these clients before state grand juries well
over 100 times in some of the most significant state public corruption and white collar
cases in Pennsylvania history.
Daniel M. Hawke is the Unit Chief of the SEC Division of Enforcement’s Market
Abuse Unit and the Director of its Philadelphia Regional Office. In his capacity as
Unit Chief, Mr. Hawke oversees nationwide investigations into large-scale insider
trading networks and rings – so called “organized” insider-trading, large cap market
manipulations, system-based and platform-driven trading violations such as front
running, collusive trading, best execution and abusive short selling violations as well
as other systemic, institutional regulatory violations, internal control violations and
other abusive market practices. In his capacity as Regional Director, Mr. Hawke
oversees the Commission’s regulation and enforcement programs in Pennsylvania,
Delaware, Maryland, Virginia, West Virginia and the District of Columbia.
Nathan J. Hochman is a partner at Bingham McCutchen LLP and practices complex
civil and criminal litigation, with a focus on white collar criminal defense and tax
controversy matters. He represents individuals and organizations involved as targets,
subjects, or witnesses in state and federal criminal investigations, internal investigations, and related grand jury and pre-trial proceedings, trials, and appeals. He also
represents clients in state and federal tax controversy, tax litigation, arbitrations and
complex civil matters.
Thomas H. Lee II, a partner at Dechert LLP, focuses his practice on representing
companies and individuals involved in criminal and other government investigations
and related civil litigation, including investigations and litigation under the federal
False Claims Act and state counterparts, the federal Food, Drug and Cosmetic Act,
White Collar Practice
12 CLE credit hours including 1 ethics hour
November 14 – 15, 2013
Ritz-Carlton • Ten Avenue of the Arts • Philadelphia, PA
SPEAKER BIOS
the Medicare/Medicaid Anti-Kickback Statute, the Bank Secrecy Act, the Financial Institutions Reform, Recovery and Enforcement Act (FIRREA)
and state consumer fraud statutes.
Stephen Miller is a member of Cozen O’Connor’s Commercial Litigation practice. His practice focuses primarily on helping companies and
individuals navigate government investigations, implement compliance programs, and defend against criminal charges. Prior to joining Cozen,
Mr. Miller served nine years as a federal prosecutor in the U.S. Attorneys’ Offices in the Southern District of New York and the Eastern District
of Pennsylvania. Mr. Miller served as a law clerk to the Honorable Antonin Scalia of the U.S. Supreme Court and Judge Joel M. Flaum of the
Seventh Circuit.
Lewis Morris, Senior Counsel at Adelman, Sheff & Smith, LLC, joined the firm in June 2012, after retiring from the Department of Health and
Human Services, Office of Inspector General (OIG) with 25 year; of service. Lew has served as Chief Counsel to the OIG for the last ten years,
during which time he designed and implemented the OIG self-disclosure protocol; which enables organizations to voluntarily disclose self-discovered evidence of potential fraud and avoid the costs and disruptions associated with a Government-directed investigation and litigation.
Mary E. Mulligan’s practice combines white-collar criminal defense and internal investigations with intellectual property litigation. At Freidman
Kaplan Seiler & Adelman LLP, Ms. Mulligan has represented individuals and corporations in matters involving allegations of insider trading,
Foreign Corrupt Practices Act violations, criminal antitrust violations, securities fraud, tax fraud, internet fraud, healthcare fraud, and cyber stalking. She has conducted internal investigations concerning alleged securities law violations, accounting control issues, and corporate governance
practices.
Gregory A. Paw, a partner with Pepper Hamilton LLP, is an experienced trial lawyer with extensive white collar experience. A former Deputy
U.S. Attorney and past director of the New Jersey Division of Criminal Justice, Mr. Paw is a member of the Pepper’s White Collar Litigation and
Investigations Practice Group. He also is a member of the firm’s Business Integrity Practice Group.
Elizabeth D. Peloso is the Vice Provost of the Office of Research Services at the University of Pennsylvania.
Joseph G. Poluka is a partner in the White Collar Defense & Investigations group at the law firm of Blank Rome LLP. Mr Poluka represents
clients in the investigation and defense of a wide variety of criminal offenses including complex fraud, corruption, and tax schemes, and also
advises on corporate compliance policies.
Marc S. Raspanti is a name partner of Pietragallo Gordon Alfano Bostick & Raspanti, LLP, where he founded the firm’s national Qui Tam
Practice Group. He also serves as Chair of the firm’s White Collar Criminal Defense Practice Group. Mr. Raspanti focuses his national litigation
practice on affirmative federal and state qui tam litigation, white collar criminal defense, health care litigation and complex commercial litigation.
Catherine M. Recker, a partner at Welsh & Recker, has more than twenty years’ experience representing individuals and corporations in
criminal investigations, trials and appeals and in other government enforcement and regulatory matters. These include cases and parallel proceedings alleging antitrust and securities violations, Foreign Corrupt Practices Act and other import/export violations, tax fraud, environmental
violations, public corruption charges and Food Drug and Cosmetic Act violations, False Claims Act and anti-kickback laws.
Mark A. Rush is a partner with K & L gates and and concentrates his practice on litigation as a trial lawyer, with emphasis on corporate criminal
defense and complex commercial litigation. Mr. Rush has defended individuals, public and private corporations, public officials, government
contractors, and healthcare providers who are subjects of federal and state grand jury investigations and investigations by the DOJ, SEC, FDA,
EPA, FTC, and various other federal and state agencies.
Courtney Gilligan Saleski is a partner in DLA Piper’s Litigation practice. Her practice focuses on appellate, white collar criminal, complex civil
and antitrust litigation, as well as internal corporate investigations. Before joining DLA Piper, Ms. Saleski served for over five years as a prosecutor in the United States Attorney’s Office for the District of Columbia. Ms. Saleski served as a law clerk to Chief Justice William Rehnquist of
the U.S. Supreme Court and Judge Frank Magill of the Eighth Circuit.
Michael A. Schwartz is a partner and co-chair of the Litigation and Dispute Resolution Department of Pepper Hamilton LLP, resident in the
Philadelphia office. He is a member of the firm’s White Collar Litigation and Investigations, and Media and Communications Practice Groups. Mr.
Schwartz focuses his practice in the areas of criminal defense and counseling, internal corporate investigations, corporate compliance programs
and First Amendment matters.
Mark B. Sheppard is a partner in the Litigation Department at Montgomery, McCracken, Walker & Rhoads, LLP. With a broad base of civil and
criminal trial and appellate experience, his practice focuses on white collar criminal defense, SEC Enforcement and complex commercial litigation.