The meltdown of 2008, the failure of significant financial institutions, the revelation of huge Ponzi schemes, and the mortgage-backed securities crisis have changed the landscape of securities enforcement and private plaintiff’s actions.

The SEC, enforcement agencies, and private plaintiffs are coming to view issuers, directors, and professionals as guarantors of investments, reallocating the traditional risk paradigm in the process. These changes have practical consequences for disclosure practices, risk assessment, compliance programs, audit committees, and capital-raising instruments.

Learn more about these issues from our distinguished panel that includes an NERA economist, in-house counsel from SIG and NASDAQ, and securities litigation practitioners.

Topics

  • Practical experiences with the new regulatory regime
  • Recent trends in private securities litigation and SEC enforcement actions
  • Cutting-edge economic analysis used in securities litigation
  • Practical compliance in the age of Dodd-Frank
  • What to do with your audit committee
  • Can there ever be enough disclosure?

Program

12:00 PM - 12:30 PM | Registration and Lunch
12:30 PM - 3:15 PM | Seminar

panelists/Speakers

M. Norman Goldberger, Partner In Charge, Securities Enforcement and Litigation Group, Ballard Spahr LLP
John C. Grugan, Partner, Securities Enforcement and Litigation Group, Ballard Spahr LLP
Dr. Vinita Juneja, Senior Vice President, National Economic Research Associates, Inc.
Stephen J. Kastenberg, Partner, Securities Enforcement and Litigation Group, Ballard Spahr LLP
Justin P. Klein, Partner, Securities Group, Ballard Spahr LLP
Laura E. Krabill, Partner, Securities Enforcement and Litigation Group, Ballard Spahr LLP
Richard J. McDonald, Chief Regulatory Counsel, Susquehanna International Group, LLP
John Zecca, Senior Vice President of Market Regulation, NASDAQ OMX Group, Inc.

CONTINUING LEGAL EDUCATION

This program offers 2.5 substantive Pennsylvania CLE credits. Uniform Certificates of Attendance will be available for the purpose of obtaining CLE credit from other jurisdictions.