White Collar DefenseSecurities and Derivatives Litigation and Regulatory Group
Bank Regulatory
Commercial Litigation
University of Pennsylvania Law School, J.D., 1982
Ohio State University, B.A., 1979
cum laude, Phi Beta Kappa
New YorkNew Jersey
U.S. District Court, S.D. New YorkU.S. District Court, E.D. New York
U.S. District Court, Dist. of New Jersey
U.S. Court of Appeals, 2nd Circuit
U.S. Court of Appeals, 3rd Circuit
American Bar Association, Business Law Section, Chairman of the White Collar Crime Committee
Corporate Investigation CLE
February 28, 2013
Herrick's white collar and securities regulatory practice groups, in conjunction with the consulting firm of Alvarez & Marsal, hosted a CLE program focusing on critical issues in corporate internal investigations for sophisticated practitioners. We provided 1-2 hours of CLE ethics credit in NY and NJ to the attendees. The program focused on some of the thorny issues that confront attorneys when trying to effectively conduct an internal investigation. A panel comprised of experienced practitioners discussed practical issues and potential pitfalls that arise in the context of internal investigations. The panel offered insights on lessons learned in prior investigations and also discussed several investigations that suffered from serious missteps.
February 28, 2013
Herrick's white collar and securities regulatory practice groups, in conjunction with the consulting firm of Alvarez & Marsal, hosted a CLE program focusing on critical issues in corporate internal investigations for sophisticated practitioners. We provided 1-2 hours of CLE ethics credit in NY and NJ to the attendees. The program focused on some of the thorny issues that confront attorneys when trying to effectively conduct an internal investigation. A panel comprised of experienced practitioners discussed practical issues and potential pitfalls that arise in the context of internal investigations. The panel offered insights on lessons learned in prior investigations and also discussed several investigations that suffered from serious missteps.
ABA White Collar Committee Meeting
February 13, 2013
Herrick hosted the ABA White Collar Crime Committee Meeting.
February 13, 2013
Herrick hosted the ABA White Collar Crime Committee Meeting.
When Law Enforcement Comes Knocking
October 23, 2012
David Rosenfield spoke on a webinar to hundreds of audit and compliance professionals on how to respond when approached by law enforcement officers, and on the consequences of lying to the government.
October 23, 2012
David Rosenfield spoke on a webinar to hundreds of audit and compliance professionals on how to respond when approached by law enforcement officers, and on the consequences of lying to the government.
ABA White Collar Committee Meeting
October 11, 2012
The White Collar Crime Committee of the ABA’s Business Law Section hosted Professor John C. Coffee Jr., the Adolf A. Berle Professor of Law and Director of the Center on Corporate Governance at Columbia Law School. Professor Coffee spoke at Herrick, Feinstein LLP on Thursday, October 11, 2012. Professor Coffee is listed by the National Law Journal as one of "The 100 Most Influential Lawyers in the United States” and is a recognized authority on white collar crime and securities industry regulation. The event took place from 6:15PM-8PM.
October 11, 2012
The White Collar Crime Committee of the ABA’s Business Law Section hosted Professor John C. Coffee Jr., the Adolf A. Berle Professor of Law and Director of the Center on Corporate Governance at Columbia Law School. Professor Coffee spoke at Herrick, Feinstein LLP on Thursday, October 11, 2012. Professor Coffee is listed by the National Law Journal as one of "The 100 Most Influential Lawyers in the United States” and is a recognized authority on white collar crime and securities industry regulation. The event took place from 6:15PM-8PM.
Defending Public Corporations in High Stakes Criminal Trials
March 24, 2012 -- American Bar Association
David Rosenfield spoke on a panel at the ABA Business Law Section's 2012 Spring Meeting in Las Vegas concerning a federal criminal trial in which a public energy company was acquitted by a jury on charges of health and safety violations.
March 24, 2012 -- American Bar Association
David Rosenfield spoke on a panel at the ABA Business Law Section's 2012 Spring Meeting in Las Vegas concerning a federal criminal trial in which a public energy company was acquitted by a jury on charges of health and safety violations.
Obstruction of Justice
August 5, 2011 -- American Bar Association
David Rosenfield spoke on a panel at the ABA's Annual Meeting in Toronto on federal charges of obstruction of justice filed against an in-house attorney in connection with a document production.
August 5, 2011 -- American Bar Association
David Rosenfield spoke on a panel at the ABA's Annual Meeting in Toronto on federal charges of obstruction of justice filed against an in-house attorney in connection with a document production.
Voluntary Disclosure
May 5, 2011 -- American Bar Association
David Rosenfield moderated a panel on voluntary disclosure by corporations at the ABA's "Third Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel" in New York City. David was also on the Planning Committee for the Institute.
May 5, 2011 -- American Bar Association
David Rosenfield moderated a panel on voluntary disclosure by corporations at the ABA's "Third Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel" in New York City. David was also on the Planning Committee for the Institute.
Whistleblowers
April 14, 2011 -- American Bar Association
David Rosenfield spoke on a panel on the "whistleblower" provisions of the Dodd-Frank Act at the ABA Business Law Section's 2011 Spring Meeting in Boston.
April 14, 2011 -- American Bar Association
David Rosenfield spoke on a panel on the "whistleblower" provisions of the Dodd-Frank Act at the ABA Business Law Section's 2011 Spring Meeting in Boston.
Dealing with Government Interviews
February 16, 2011 -- New York State Society of CPAs
David Rosenfield spoke at a New York State Society of CPAs meeting on "How to Deal with Government Interviews or Questioning."
February 16, 2011 -- New York State Society of CPAs
David Rosenfield spoke at a New York State Society of CPAs meeting on "How to Deal with Government Interviews or Questioning."
How False Statements Can Land You in Jail
October 6, 2010 -- Jamison Webinar
David Rosenfield and Steve Feldman spoke on a Jamison webinar for investment advisers entitled "How False Statements Can Land You in Jail."
October 6, 2010 -- Jamison Webinar
David Rosenfield and Steve Feldman spoke on a Jamison webinar for investment advisers entitled "How False Statements Can Land You in Jail."
A Case Study: The Good, the Bad and the Ugly
May 5, 2010 -- American Bar Association
David Rosenfield moderated a panel entitled "A Case Study: The Good, the Bad and the Ugly" at the ABA's "Second Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel" in Washington, D.C.
May 5, 2010 -- American Bar Association
David Rosenfield moderated a panel entitled "A Case Study: The Good, the Bad and the Ugly" at the ABA's "Second Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel" in Washington, D.C.
Criminal and Civil Issues Regarding the Bank Secrecy Act
September 22, 2009 -- New York State Society of CPAs
David Rosenfield spoke at a New York State Society of CPAs meeting on criminal issues related to the Bank Secrecy Act, and also discussed surprise government interviews.
September 22, 2009 -- New York State Society of CPAs
David Rosenfield spoke at a New York State Society of CPAs meeting on criminal issues related to the Bank Secrecy Act, and also discussed surprise government interviews.
Representing the Individual
May 8, 2009 -- American Bar Association
David Rosenfield spoke on a panel at the first "Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel" in Washington, D.C. on representing the individual in an internal investigation.
May 8, 2009 -- American Bar Association
David Rosenfield spoke on a panel at the first "Annual National Institute on Internal Corporate Investigations and Forum for In-House Counsel" in Washington, D.C. on representing the individual in an internal investigation.
The Consequences of a Failure to Implement Anti-Money Laundering Controls
June 18, 2008 -- Financial Controls & Risk Forum 2008
David Rosenfield presented "The Consequences of a Failure to Implement Anti-Money Laundering Controls" at Gotham Media Ventures' "Financial Controls & Risk Forum 2008: Institutional Vulnerabilities and Due Diligence" in New York City.
June 18, 2008 -- Financial Controls & Risk Forum 2008
David Rosenfield presented "The Consequences of a Failure to Implement Anti-Money Laundering Controls" at Gotham Media Ventures' "Financial Controls & Risk Forum 2008: Institutional Vulnerabilities and Due Diligence" in New York City.
Surprise Government Interviews - A Case Study
April 16, 2008 -- Association of Corporate Counsel
David Rosenfield presented at the Annual Compliance Seminar of the Greater New York Chapter of the Association of Corporate Counsel (ACC), New York City.
April 16, 2008 -- Association of Corporate Counsel
David Rosenfield presented at the Annual Compliance Seminar of the Greater New York Chapter of the Association of Corporate Counsel (ACC), New York City.
How to Deal with Surprise Government Interviews
February 5, 2008 -- Herrick, Feinstein and KPMG
Herrick sponsored, with KPMG, a seminar on dealing with surprise government interviews before the ACC's Greater NY Chapter in New York City.
February 5, 2008 -- Herrick, Feinstein and KPMG
Herrick sponsored, with KPMG, a seminar on dealing with surprise government interviews before the ACC's Greater NY Chapter in New York City.
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