RK&O Webinar: "The Litvak Trial: Implications for Banks and Hedge Funds"

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March 12, 2014

Richards Kibbe & Orbe LLP partners Lee Richards, Daniel Stein, and David Massey, former Assistant U.S. Attorneys, and Michael Mann, former SEC Director of the Office of International Affairs, hosted a webinar titled, "The Litvak Trial: Implications for Banks and Hedge Funds."

The Connecticut U.S. Attorney’s criminal prosecution of former Jefferies trader Jesse Litvak ended in a conviction on March 7, but the implications of this case for broker-dealers and their customers in the fixed income trading markets are ongoing and far-reaching.

This distinguished panel hosted a frank discussion of the key issues raised by this case and the SEC’s parallel enforcement action, as well as recommendations for compliance in the current enforcement environment.

Richards Kibbe & Orbe LLP is an accredited NY CLE provider. This webinar is a non-transitional CLE program approved for experienced attorneys in accordance with the requirements of the NYS CLE Board for 1.0 New York CLE Professional Practice credits. 

Click here to access audio recording.


RK&O Presentation "The Litvak Trial:  Implications for Banks & Hedge Funds"

Litvak Indictment (DConn)

SEC Complaint

Best Execution Guidelines for Fixed-Income Securities (SIFMA)

USCA Titles 15 & 18

Attorney Affirmation & Critique