Insider Trading - Oct 18,2012

Todays show marks the continuation of our ongoing CONTINUING LEGAL SERIES WITH TANNENBAUM HELPERN. Since 1978, Tannenbaum Helpern has provided legal services in all areas of business law, including financial services; private funds and capital markets; real estate, environmental and construction law; general corporate and SEC matters; litigation; franchise, distribution and e-commerce; antitrust; intellectual property; employment (including ERISA, executive compensation and employee benefits); estate planning; and tax; as well as trusts and estates and the representation of individuals and charitable organizations. My guest will be Ralph Siciliano. As head of the firms Governmental and Regulatory Investigations Practice, Ralph represents investment advisors, private funds, broker-dealers and their associated persons, and officers and directors of publicly held companies in connection with investigations and enforcement proceedings brought by federal and state authorities and self-regulatory organizations, including the SEC, CFTC, FINRA, offices of the United States Attorney and State Attorneys General. The information discussing in this program is for educational value only and does not represent legal advice, which should come from a legal advisor with knowledge of specific facts and circumstances. While the information provided in the program is not intended to constitute legal or tax advice, U.S. Treasury Regulations require us to inform you that, to the extent that any of the information provided in the program is deemed to constitute U.S. tax advice, it cannot be used by you (i) to avoid tax penalties or (ii) to promote, market or recommend to another party any transaction or matter addressed therein. Also, this program may constitute attorney advertising.

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