Previous Events & CLE Programs
June 2, 2009
Committee Meeting
Tuesday, June 2, 2009 - 8:00a
Topic: How Much is Too Much? The Supreme Court Review of the Gartenberg Standard in Jones v. Harris Associates
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May 22, 2009
Committee Meeting
Friday, May 22, 2009 - 12:30p
Topic: Perspectives on Special Litigation Committee Investigations
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March 25, 2009
Committee Meeting
Wednesday, March 25 , 2009 - 12:30p
Topic: Developments in Hedge Fund Litigation
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February 3, 2009
Committee Meeting
Tuesday, February 3, 2009 - 12:00p
Topic: Criminal Enforcement of the Federal Securities Laws
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December 10, 2008
Committee Meeting
Wednesday, December 10, 2008 - 12:30p
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October 3, 2008
Committee Meeting
Financial Implications of the Credit Crisis
Sponsors
Securities Enforcement & Litigation Committee
Securities Law Committee
Dr. Erik Sirri, director of the SEC's division of trading and markets, will offer some reflections on the credit crisis and its implications for the regulation of financial market participants.
September 18, 2008
Committee Meeting
FINRA Update
Dan Nathan, vice-president and director of regional enforcement at FINRA, will speak with us about FINRA's enforcement priorities, investigative practices, and adjudicatory hearings.
May 14, 2008
Committee Meeting
Overview of Securities Sales to Seniors
Paul Tyrrell, FINRA, and Frances Cohen, Bingham McCutchen LLP, will provide an overview of developments relating to securities sales to seniors, including FINRA guidance, sweeps and enforcement action and class action litigation.
April 9, 2008
Committee Meeting
Mutual Fund Litigation and Enforcement Proceedings
Sponsors
Securities Enforcement & Litigation Committee
Securities Law Committee
Investment Companies & Advisers Committee
Join James R. Carroll, Skadden, Arps, Slate, Meagher & Flom LLP & Affiliates, and Jason A. Tucker, Putnam Investments, for an update on mutual fund litigation and enforcement proceedings, including:
- market timing
- revenue sharing
- excessive fees litigation
- gifts and gratuities enforcement actions
February 13, 2008
Committee Meeting
Repricing Risk: How the Credit Crisis Is Changing the Hedge Fund Industry
Timothy W. Mungovan and Jonathan Sablone of Nixon Peabody LLP will discuss problems that hedge funds and their investors are facing as the credit crisis continues to unfold, including:
- valuation issues, especially related to hard-to-value assets
- redemptions and the intersection between redemptions and valuation
- issues related to credit default swaps and counter-party credit risk
- the impact of leverage on valuation and liquidity (asset and fund)
- likelihood of regulation in U.S. in light of the credit crisis
There also will be a review of current litigation issues involving funds, including IMA, Bayou, Bear Stearns, and Amaranth.
January 9, 2008
Committee Meeting
How Privilege Considerations Affect the Conducting of an Investigation
Preservation of attorney-client privilege and work-product protection can be challenging in the context of an internal investigation. The recent Delaware Chancery Court opinion in Ryan v. Gifford (Maxim Integrated Products) may make the task even more challenging. Join us as Marty Murphy, Foley Hoag LLP leads a discussion on how privilege considerations affect the conducting of an investigation and the use of the results of the investigation.
December 12, 2007
Committee Meeting
Securities Fraud Insight on the US Attorney's Priorities
Sponsors
Securities Enforcement & Litigation Committee
Criminal Law Section
Paul Levenson, Assistant US Attorney and head of the Economics Crime Unit, will discuss the priorities of US Attorney Michael J. Sullivan. Specifically, he will discuss securities fraud, including observations on option backdating scandal and mortgage fraud inquiries.
November 15, 2007
CLE Program
Securities Litigation “Three Peat?" A discussion of Tellabs, Dura, and Stoneridge
Sponsored by:
Securities Enforcement & Litigation Committee
The Securities Enforcement & Litigation Committee presents three panels featuring experienced practitioners from both sides of the "v." Panelists will discuss the practical implications of recent opinions under Rule 10b-5 with respect to pleading fraud and establishing causation. They will also consider the question of "scheme liability" posed in the pending Stoneridge case. The program will be followed by an informal reception.
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October 29, 2007
Committee Meeting
Massachusetts Securities Division Investigative & Enforcement Programs
Bryan Lantagne will be joined by other members of the staff of the Massachusetts Securities Division to discuss the MSD's investigative and enforcement programs.
October 23, 2007
Committee Meeting
Views from FINRA: Overview of Current Regulatory Initiative & Enforcement Matters
Sponsors
Securities Law Committee
Mergers & Acquisitions Committee
Banking & Financial Services Committee
Corporate Counsel Committee
Corporate Law Committee
Investment Companies & Advisers Committee
Securities Enforcement & Litigation Committee
Trusts & Estates Section
Frank Sanclemente, Regional Counsel for the Financial Industry Regulatory Authority, will discuss the current initiatives of FINRA relating to the protection of senior investors. Mr. Sanclemente will discuss the regulatory issues affecting firms and registered representatives, as well as present an overview of enforcement matters originating out of FINRA’s Boston District Office.
FINRA is the largest non-governmental regulator for all securities firms doing business in the United States and was created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the NYSE.
September 19, 2007
Committee Meeting
A Conversation with David Bergers: Enforcement Practice & Priorities
David Bergers, Regional Administrator of the SEC's Boston Regional Office, will lead an informal roundtable discussion. Specific topics of focus will be:
- investigative and enforcement practices;
- effective interactions between enforcement staff and defense counsel;
- and the SEC’s anticipated enforcement priorities for the coming year.
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