Practice Description:

As head of the firm's Governmental and Regulatory Investigations Practice, Ralph Siciliano 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.  Having held senior enforcement positions in the New York Office of the U.S. Securities and Exchange Commission, Ralph has extensive experience dealing with federal and state regulatory agencies and self-regulatory organizations.  Ralph also represents officers and directors of public companies and financial services institutions and individuals in securities-related litigations, including the defense of class actions, shareholder derivative actions and claims by bankruptcy trustees.  Ralph also has served as counsel to Audit Committees and other Special Committees of the Boards of Directors of public and not-for-profit corporations in connection with corporate governance issues.

Ralph has been selected for inclusion in New York Super Lawyers for 2011. 

Publications:

• "When Government Information Can be 'Inside Information' Under the Federal Securities and Commodities Laws," GlobalNote (2012)
• "The Insider Trading Laws and Hedge Funds" (2011)
• "The Fund Manager's Dilemma: the Need to Know versus the US Insider Trading Laws," published in the Alternative Investment Management Association Magazine's Autumn 2007 Edition
• "New SEC Rules Requiring Attorneys to Report Evidence of Violations," for the 21st Annual American Law Institute-American Bar Association Course on Product Distribution (March 2006)
• Chapter, "SEC Reporting Obligations," in The Practitioner's Guide to the Listing Rules of the New York Stock Exchange (1997)
• "United States v. Chiarella - A Step Toward Parity" (New York Law Journal, 1979)

Presentations:

• Panelist, "The Madoff Fraud: A Ground Breaking Case in Cross-Border, International Litigation," presented by the International Section of the New York State Bar Association, January 25, 2012
• Moderator, "Hedge Fund Managers Beware: Minimizing Insider Trading Risks While Using Expert Consultants" (CLE Program, 2011)
• "Demystifying Hedge Funds: What To Do When Your Hedge Fund is in Trouble," May 1, 2008, audio conference presentation to accounting professionals, sponsored by Professional Business Publications.
• Panelist, "Hedge Fund Insurance and Managing Professional and Employee Related Liability Risk," September 17, 2007, New York City, sponsored by UBS Prime Brokerage Services
• Panelist, "Hedge Fund Activism: Investor Relations Strategies to Defend Your Company," sponsored by the Institute of Management & Administration, Sept. 12, 2007
• Co-Chair, Conference on Corporate Liability and Compliance, Ritz Carlton Hotel, Coconut Grove, Florida, November 13-14, 2006, sponsored by Mealey's division of Lexis-Nexis
• Panelist, "Is Your Hedge Fund Protected? How to Fend Off Lawsuits, Protect Against Fraud and Tighter Government Scrutiny," June 15, 2005, audio conference sponsored by Institutional Investor
• Panelist, "Compliance for Hedge Funds," Park Central Hotel, New York City, July 24, 2003, sponsored by the Institute for International Research