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3rd Annual Securities Litigation & Enforcement Institute (Full Day)

Length: 6 hours 15 minutes

In the past year, there have been numerous, significant developments in securities litigation and enforcement.  While lawsuits arising from the credit crisis are on the wane, a new wave of securities class actions has replaced them.  At the same time, as a result of the internationalization of the enforcement landscape, financial institutions are regularly involved in multiple, cross-border investigations and enforcement actions conducted by federal, state and foreign regulators.  Finally, the courts continue to issue decisions that substantially affect the strategies to be employed in prosecuting and defending securities lawsuits.  As these lawsuits, investigations and enforcement actions continue apace, it is critical that securities litigators and enforcement lawyers keep up with the latest developments.

This full-day program will provide a comprehensive overview of recent trends, developments and cutting-edge issues in securities litigation and enforcement.  The Keynote Speakers will be Honorable Pierre N. Leval of the United States Court of Appeals for the Second Circuit and Merritt B. Fox, the Michael E. Patterson Professor of Law at Columbia Law School. The panels will include prominent securities litigators, high-level enforcement officials, senior in-house counsel at major financial institutions, nationally-recognized trial lawyers, jury consultants and economists.  

The morning plenary session will cover hot button issues in securities class action litigation, including the impact of the Supreme Court’s recent Halliburton II decision.  The afternoon plenary session will provide an update on the priorities and enforcement activities of the SEC, CFTC, Federal Reserve Bank of New York, and other regulators.  Andrew J. Ceresney, the Director of Enforcement of the SEC, Aitan D. Goelman, the Director of Enforcement of the CFTC, and Shari D. Leventhal, Deputy General Counsel and Senior Vice President of the Federal Reserve Bank of New York, will participate in this session.  Break-out sessions will explore: how senior in-house counsel at major financial institutions handle global regulatory investigations; the trial of a securities case; critical issues in corporate governance; and strategies for defending companies and individuals in today’s challenging enforcement climate.

AM Session Agenda


Welcome Remarks
 Lawrence J. Zweifach

Morning Keynote Address
Honorable Pierre N. Leval


Morning Plenary Session: Securities Class Actions in a Post-Halliburton World
Moderator: Robert J. Giuffra, Jr.
Panelists: Max W. Berger, Karin A. DeMasi, Dr. Vinita Juneja, Brad S. Karp & Scott D. Musoff


Coffee Break


Handling Global Regulatory Investigations
Moderator: Mark S. Shelton
Panelists: Shawn J. Chen, Christina B. Dugger, Matthew X. Fitzwater & Abby Meiselman

1:30–2:10 pm

Afternoon Keynote Address
Professor Merritt B. Fox

2:10–3:30 pm

Afternoon Plenary Session
Enforcement Update: Priorities and Recent Enforcement Activities
Moderator: George S. Canellos
Panelists: Andrew J. Ceresney, Aitan D. Goelman & Richard B. Zabel

3:30–3:45 pm

Coffee Break

3:45–5:00 pm

Trial of a Securities Case
Moderator: Gary P. Naftalis
Panelists: Celia Goldwag Barenholtz, Salvatore J. Graziano, Dr. Reiko Hasuike, Michael J. Shepard, Lassaad Adel Turki & Theodore V. Wells Jr

CLE credit: New York: 6.0 professional practice; New Jersey: 6.1 general; CA & PA: 5.0 general

Original Recording Date: 11/17/2014

Produced By:

New York City Bar Association

Course Materials

  • Affirmation of Self-Study
  • 3rd Annual Securities Litigation & Enforcement Institute (Full Day)