On Demand Audio

Ethics for Banking & Financial Services Lawyers

(759 reviews)

Produced on November 13, 2017

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Course Information

Time 1h 33m
Difficulty Intermediate
Topics covered in this course: Ethics Banking

Course Description

Lawyers in banking and financial services practices face some of the most daunting ethical challenges, and in many instances, there are no clear answers to guide how best to deal with these challenges. Understanding where the minefields and traps are located is essential for lawyers in the industry. This program, taught by C. Evan Stewart, a Senior Partner at Cohen & Gresser LLP, will cover client confidentiality obligations (including possible SEC preemption), updates and challenges to the attorney-client privilege and attorney work product doctrine, and conflict of interest risks.

Mr. Stewart is also a visiting professor at Cornell University and an adjunct professor at Fordham Law School. He has been a regularly contributing columnist for the New York Law Journal since 1990 and has published nearly 300 articles on diverse legal subjects; he is also frequently featured in the national media and regularly speaks across the country on securities, professional responsibility, and complex litigation issues.  In 2016, Mr. Stewart was awarded the Stanford D. Levy Award from the New York State Bar Association’s Ethics Committee for his contribution to the field of legal ethics.

Learning Objectives:   

  1. Understand client confidentiality obligations (and the conflict between state attorney rules and the SEC's rules governing attorneys)
  2. Get an update on developments affecting the attorney-client privilege and work product doctrine
  3. Learn about attorney whistleblower rights (if any)
  4. Understand whether conflicts of interest can be waived (to your client's detriment)
  5. Get exposure to the complex risks facing attorneys in the financial services industry, including multiple representation and multi-jurisdictional traps
  6. Appreciate the dangers of documents, as well as the traps inherent in inadvertent disclosure

Credit Information

After completing this course, Lawline will report your attendance information to {{ accredMasterState.state.name }}. Please ensure your license number is filled out in your profile to ensure timely reporting. For more information, see our {{ accredMasterState.state.name }} CLE Requirements page . After completing this course, {{ accredMasterState.state.name }} attorneys self-report their attendance and CLE compliance. For more information on how to report your CLE courses, see our {{ accredMasterState.state.name }} CLE Requirements FAQ .


C. Evan Stewart

Cohen & Gresser LLP

Mr. Stewart’s practice principally focuses on the financial services industry, handling litigation matters for domestic and international clients before federal and state trial and appellate courts, in arbitration forums, as well as before the Judicial Panel on Multidistrict Litigation and the U.S. Supreme Court. He advises clients on a range of complex commercial matters, including antitrust, bankruptcy, class action defense, ethics, intellectual property, internal investigations, securities litigation, and tax controversies.

Mr. Stewart was featured by the New York Law Journal in the “Top Trials of 2005” for his successful representation of Theodore Sihpol, the first person in U.S. history to be criminally charged for “late trading” mutual funds. More recently, Mr. Stewart successfully represented Gary Prince against the U.S. Securities and Exchange Commission. In May of 2013, after a three week bench trial in federal court, the judge dismissed all six charges of securities fraud against Mr. Prince.

With substantial experience in the financial services industry, Mr. Stewart served twelve years as Executive Vice President and General Counsel for The Nikko Securities Co. International Inc., as well as a director of Nikko Financial Services Inc. Additionally, Mr. Stewart served as First Vice President, Associate General Counsel, and Head of Litigation at E.F. Hutton & Company Inc. Since 2003, Mr. Stewart has been tasked by Goldman, Sachs & Co. to be responsible for, among other things, overseeing and litigating all of the disputes arising out of the company’s Private Wealth Management Division.

Recognized as a Super Lawyer for Securities Litigation since 2009, Mr. Stewart has also been hailed as a "Local Litigation Star" by Benchmark Litigation since 2010. In 2016, Mr. Stewart received theStanford D Levy Award from the New York State Bar Association's Ethics Committee for having "significantly contributed to an understanding of professional ethics by the publication of an article, commentary or a series of articles or commentaries on the subject". In 2008, he received the Modaq Content Award for writing the most popular article in the United States. Since 1980, Mr. Stewart has been AV(R) Peer Review Rated by Martindale-Hubbell.

Mr. Stewart is a visiting professor at Cornell University and an adjunct law professor at Fordham Law School. He has been a regularly contributing columnist for the New York Law Journal since 1990 and has published over 200 articles on diverse legal subjects; he is also frequently featured in the national media and regularly speaks across the country on securities, professional responsibility, and complex litigation issues.


Michael Z.

Best ethics CLE I’ve ever taken.

Ruth H.

Very pleasant and well-spoken.

Michael J D.

excellent; great presentation

Catherine E.

One of the better presentations. Very excellent and erudite analysis and discussion of some of the thornier ethical issues.

Donald S.

Very extensive and very well presented. Extremely informative.

Scott G.

Good reveiw, with practical application, of ethical traps. Highly informative.

Jon R.

Very educational for attorneys that represent financial institutions.

Alexis G.

Great depth of information if you're in-house.

Michael W.

Very good assessment of very tricky issues

Kenneth P.

This was an excellent program: good material, very clearly presented.

Kinchen B.

Thoughtful and well done.

Hubert L.

quite interesting and informative.

mark w.

Great Presentation



Jane E.

Excellent in content and presentation.

Melissa P.

very informative

Howard C.

Great presenter

Paul A.

Extremely informative. Mr. Stewart's candid approach is very refreshing. Thank you.

Megan F.

I would highly recommend this presentation. As in-house counsel, I found the information valuable.

John M.

Great presenter, informative materials.

Mary C.

Very helpful

Robert F.

Excellent materials; well researched and presented

Clinton E.

Good, thorough overview.

Michael M.

Best Lawline course I've viewed.

Brian H.

Outstanding instruction!

Marshall N.


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