Ralph A. Siciliano

  • 1,842 Courses Completed
  • Partner
  • Tannenbaum Helpern Syracuse & Hirschtritt LLP
  • http://www.thsh.com

Biography

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 2011-2014.

Publications

  • 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
  • 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
  • Insider trading—let the tippee beware | InsideCounsel | April 11, 2013
  • SEC actions time-barred after five years? Not quite | InsideCounsel | March 28, 2013
  • Risks of Using Expert Networking Firms – The Latest Prosecution for Insider Trading | BulletPoints | December 2012
  • Insider Trading and Tippee Liability: The Second Circuit Reconciles Two Inconsistent Scienter Requirements | Business Litigation Bulletin | November 2012
  • 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
  • Offshore Asset Recovery: Investigations and Legal Proceedings | International Law Practicum, vol. 25, no. 1 | Spring 2012
  • 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

1 Course by Ralph A. Siciliano