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As head of Tannenbaum Helpern’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, 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, including structuring settlements
with such agencies and seeking relief from SEC bar orders and the “bad
actor” disqualification provisions under the federal securities laws..
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 been retained to testify
on federal and state securities-related issues in litigation and arbitration matters.
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. He has been selected for
inclusion in New York Super Lawyers for 2011-2018.
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Does The Supreme Court’s Decision in Lucia Alter the Fairness of
SEC Administrative Proceedings| BulletPoint | June 2018
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Criminal Conviction Highlights the Risk of Insider Trading Liability for
Using “Political Intelligence” | BulletPoint | May 2018
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2nd Circuit upholds insider trading conviction of Mathew Martoma, striking
down a key holding of Newman | BulletPoint | August 2017
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Recent Cyber Attack On Law Firms Serves As A Wake-Up Call For Professional
Services Firms | January 2017
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The Law of Insider Trading: A Primer For Investment Managers | January 2017
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Supreme Court Clarifies “Personal Benefit”: Requirement for
Insider Trading Liability | BulletPoint | December 2016
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Attorney Professionalism Forum: Client Confidences and Insider Information | Reprinted with permission from New York State Bar Association Journal,
Vol. 88, No. 4 | May 2016
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Cert Denied! Supreme Court Lets the Newman Decision Stand | BulletPoint | October 2015
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Attorney Professionalism Forum: Some Suggestions for the Securities Lawyer
When Handling Transactions On Behalf of A Client | Reprinted with permission from New York State Bar Association Journal,
Vol. 87, No. 7. | September 2015
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Second Circuit Issues Key Decision Clarifying What A Tippee Must Know To
Be Held Liable For Criminal Insider Trading Liability | Business Litigation Bulletin | December 2014
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Avoidance of Securities Transactions – Investor Exposure | E-Alert | May 2014
- How Can Hedge fund Managers Apply the Law of Insider Trading to Address
Hedge Fund Industry-Specific Trading Risks (Part 2 of 2)| Hedge Fund Law
Report | August 15, 2013
- How Can Hedge fund Managers Apply the Law of Insider Trading to Address
Hedge Fund Industry-Specific Trading Risks (Part 1 of 2)| Hedge Fund Law
Report | August 7, 2013
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Insider trading—let the tippee beware | InsideCounsel | April 11, 2013
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SEC actions time-barred after five years? Not quite | InsideCounsel | March 28, 2013
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Risks of Using Expert Networking Firms – The Latest Prosecution for
Insider Trading | BulletPoints | December 2012
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Insider Trading and Tippee Liability: The Second Circuit Reconciles Two
Inconsistent Scienter Requirements | Business Litigation Bulletin | November 2012
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The Madoff Fraud: A Ground-Breaking Case in Cross-Border International
Litigation | Reprint with permission from: International Law Practicum, Vol. 25,
No. 1 | Spring 2012
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Offshore Asset Recovery: Investigations and Legal Proceedings | International Law Practicum, vol. 25, no. 1 | Spring 2012
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Will The STOCK ACT Affect How Investment Advisers Conduct Governmental Research? | Bullet Point | April 2012
- 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 | Autumn 2007
- New SEC Rules Requiring Attorneys to Report Evidence of Violations | 21st
Annual American Law Institute-American Bar Association Course on Product
Distribution | March 2006
- Chapter, SEC Reporting Obligations | The Practitioner's Guide to the
Listing Rules of the New York Stock Exchange | 1997
Ralph Siciliano has or will serve as a speaker, moderator, event chair
or panelist for the following events:
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The Continuing Impact of Salman v. United States on Insider Trading Prosecutions | Webcast | Lawline | November 14, 2017
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Impact of the Recent Supreme Court Decision on the Law of Insider Trading | THSH CLE Program | January 26, 2017
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Financial Planning For LGBT Couples | Manhattan Chamber of Commerce | April 21, 2016
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Insider Trading Liability in 2015: New Legal Developments | Webinar – 1:00pm – 2:15pm | Clear Law Institute | July 27, 2015
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Developments in White Collar Matters & Insider Trading Cases in the
Wake of Newman | New York County Lawyers Association | April 23, 2015
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The Evolving Landscape for Insider Trading Liability 2015 | Webcast | Lawline | February 26, 2015
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What to expect in the evolving landscape for insider trading liability in 2015 | THSH CLE Program | January 22, 2015
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Key insurance coverage considerations for private equity, hedge funds,
broker-dealers and investment advisors | THSH CLE Program | October 2, 2014
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New trends in the law of insider trading: Lessons to be learned from recent
prosecutions | THSH CLE Program | January 16, 2014
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Funding Your Business Ambition | Manhattan Chamber of Commerce | May 23, 2013
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Recent US Regulatory Developments for Foreign Financial Institutions: FATCA,
OFAC and the FCPA | NYSBA's Global Law Week | May 16, 2013
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The Essentials of Starting a Business | Manhattan Chamber of Commerce | January 29, 2013
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Comparing the enforcement regimens of the FSA and the SEC | International Section, NYSBA, Committee on International Banking, Securities
and Financial Transactions | November 29, 2012
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Insider Trading - What's New? | BlogTalkRadio | October 18, 2012
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Lawyers and Accountants – An Interdisciplinary Dialogue: Issues and
Understandings | NYCLA | September 28, 2012
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The Madoff Fraud: A Ground Breaking Case in Cross-Border, International
Litigation | International Section of the New York State Bar Association | January 25, 2012
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Hedge Fund Managers Beware: Minimizing Insider Trading Risks While Using
Expert Consultants | 2011
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Demystifying Hedge Funds: What To Do When Your Hedge Fund is in Trouble
| Professional Business Publications | May 1, 2008
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Hedge Fund Insurance and Managing Professional and Employee Related Liability Risk | UBS Prime Brokerage Services | September 17, 2007
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Hedge Fund Activism: Investor Relations Strategies to Defend Your Company | Institute of Management & Administration | Sept. 12, 2007
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Conference on Corporate Liability and Compliance | Mealey's division of Lexis-Nexis | November 13-14, 2006
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Is Your Hedge Fund Protected? How to Fend Off Lawsuits, Protect Against
Fraud and Tighter Government Scrutiny | Institutional Investor | June 15, 2005
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Compliance for Hedge Funds | Institute for International Research | July 24, 2003
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Areas of Focus:
- Government investigations
- Securities law compliance
- Litigation
- Corporate governance
Education:
College:
Law School:
- Brooklyn Law School, J.D.
- New York University School of Law, LL.M. Corporation Law
Prior Affiliations:
- Assistant Regional Administrator, Senior Trial Counsel, Branch Chief, New
York Regional Office (Enforcement) of the U.S. Securities and Exchange
Commission
Memberships:
Civic:
- Member, Board of Advocates of the Ithaca College School of Humanities and Sciences
- Member, Board of Trustees of Ithaca College (1993 - 2010)
- Member, Board of Directors of the Little Sisters of the Assumption Family
Health Service, Inc., New York City
Bar Admissions:
- New York State
- United States Supreme Court
- United States Court of Appeals for the Second, Third and Seventh Circuits
- United States District Courts for the Southern District of New York, the
Eastern District of New York and the Northern District of Illinois
Award Recognition:
- Super Lawyers 2011-2018
- Martindale-Hubbell AV Preeminent Rating
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