Seminar Number

8395

 

Early
Registration Fee:

$210

On-Site
Registration Fee:

$230

 

20th Annual
SECURITIES LITIGATION AND REGULATORY PRACTICE

OCTOBER 25, 2013

Westin Buckhead
3391 Peachtree Rd, NE • Atlanta

CLE Hours:
6 CLE Hours including 1 Ethics Hour, 1 Professionalism Hour and 3 Trial Practice Hours

Co-Sponsor:
Business Law Section, State Bar of Georgia

Presiding:
Walter E. Jospin, Program Co-Chair, Paul Hastings LLP, Atlanta
W. Scott Sorrels, Program Co-Chair, Sutherland, Asbill & Brennan LLP, Atlanta
Michael K. Wolensky, Program Co-Chair, Schiff Hardin LLP, Atlanta

8:15

Registration and Continental Breakfast
(All attendees must check in upon arrival. A jacket or sweater is recommended.)

9:00

Welcome and Program Overview
Michael K. Wolensky

There will be a 15 minute break during
the morning and afternoon sessions
9:05

CURRENT TRENDS AND APPROACHES TO SEC AND FINRA ENFORCEMENT

  • What can we expect from SEC Enforcement under Chair White and the new Commissioners?
  • Is “without admitting or denying” in serious jeopardy? Can we expect closer Court scrutiny of settlements?
  • Is use of “failure to supervise” in the SAC case
    redux Gupta?
  • Recent SEC cases
  • Ethical issues affecting whistleblowers
  • What preparation for SEC document production
    and testimony can you streamline for the cost
    sensitive client?
  • Does FINRA Enforcement really want investment advisers?
  • Developments in FINRA Enforcement processes

Moderator:
Michael K. Wolensky

Panelists:
John H. Sturc, Gibson, Dunn & Crutcher LLP, Washington, DC
Bruce A. Baird, Covington & Burling, LLP, Washington, DC
Olga Greenberg, Sutherland, Asbill & Brennan, Atlanta
Jessica Hopper, VP Regional Program, FINRA, Rockville, MD
David Paulukaitis, Mainstay Capital Markets Consultants, Inc., Atlanta

11:00

WHAT LAWYERS NEED TO KNOW ABOUT AUDITORS AND AUDITING
James R. Doty, Chairman, Public Company Accounting Oversight Board, Washington, DC

11:30

PLANNING FOR APPEALS IN SEC ENFORCEMENT CASES
Leah Ward Sears, Schiff Hardin LLP, Atlanta
William Hicks, Associate Director, Atlanta Regional Office of the Securities and Exchange Commission, Atlanta

12:15

Lunch (Included in registration fee)
Luis A. Aguilar, Commissioner, Securities and Exchange Commission, Washington, DC

1:30

DEVELOPMENTS IN CRIMINAL PROSECUTIONS OF SECURITIES LAW VIOLATIONS

  • Trends in cooperation on securities law investigations (DOJ, SEC and International Law Enforcement)
  • The benefits and drawbacks of cooperation with the SEC in parallel criminal investigations
  • Judicial scrutiny of corporate criminal matters
  • Increasing exposure to FCPA and foreign anticorruption laws

Moderator:
Walter E. Jospin

Panelists:
Alana R. Black, U.S. Attorney’s Office, Northern District of Georgia, Atlanta
Nathaniel Edmonds, Paul Hastings LLP, Washington, DC
Paul N. Monnin, DLA Piper US LLP, Atlanta

3:00

CURRENT TRENDS IN SECURITIES LITIGATION

  • Is there life left in the “fraud on the market” theory
    after Amgen?
  • Class action developments, including are class actions against firms with arbitration agreements dead?
  • Plaintiff’s perspective on the continuing evolution of securities litigation
  • Upcoming Supreme Court term and issues left for resolution

Moderator:
W. Scott Sorrels

Panelists:
Mary C. Gill, Alston & Bird LLP, Atlanta
Tony G. Powers, Rogers & Hardin LLP, Atlanta
William H. Narwold, Motley Rice, Hartford, CT

4:30
ADJOURN