Litigation

Securities

Recorded on: Feb. 7, 2013

AMY: It is now my pleasure to turn this briefing over to John Tuttle. JONATHAN TUTTLE: Hello all and welcome and thanks for joining on the call today. What Matt and I are going to talk about really had its most recent origin in some newspaper articles that Matt will discuss later talking about 10b5-1 trading plans and bringing those plans kind of back to the forefront of both the enforcement and the corporate issuer context. I think what we're going ...

Released on: Feb. 7, 2013

Taken from the briefing 10b5-1 Trading Plans and Insider Trading Under the Spotlight: Key Issues Companies and Executives Must Consider recorded January, 2013. A recent front page article in the Wall Street Journal entitled “Executives’ Good Luck in Trading Own Stock” reported that, based on the review of thousands of trades by corporate insiders, many executives appear to have done suspiciously well buying and selling their companies’ ...

From the program: Advanced Swaps & Other Derivatives 2012

Recorded on: Oct. 22, 2012

Taken from the Web Program Advanced Swaps & Other Derivatives 2012 recorded October, 2012 in New York. Lecture Topics  [00:33:18] Enforcement, Litigation & Insolvency and Resolution Authority: Netting Opinions; Safe Harbors; Orderly Liquidation Part 1  [00:33:18] Review of recent cases of interest to the OTC derivatives market, including flip clauses, multilateral netting, and more Fraud prosecutions (synthetic ...

Recorded on: Nov. 17, 2011

RICHARD CLARY: And I'm going to move over to this, because I wanted to prove that even with complex litigation you can go low tech. So we have the standard flip chart which is about as low tech as you can get, but I think will be useful, or at least [INAUDIBLE]. First I want to just describe what the pieces are, because it will help you understand, I hope, where everybody's trying to get in complex litigation. So for Enron, the starting point was ...

Course Handbook from the program Auditor Liability in the Current Environment 2010: How to Protect Yourself, held October, 2010.

Recorded on: Oct. 18, 2011

DAVID KISTENBROKER: All right. Welcome back to the 1:30 session, the afternoon kickoff session. This is going to be, I think, as Seth pointed out this morning, a first time ever in San Francisco, mediation simulation, if you will, to show you how the sausage is really made. We've got a great panel assembled for you today. You know Seth Aronson. Seth will be playing the defense counsel for the corporation in this case. Next to him is Allan Kleidon. ...

Recorded on: Apr. 27, 2012

LYLE ROBERTS: Great. If everyone is settled in, or getting settled in, we will launch into our second panel today, which is, OK, we've had the investigation. Or at least we've talked about the issues surrounding investigation, and perhaps a quick, early settlement, if possible, with the SEC. But what about the civil actions? Our fact patterns suggest that we're going to have a lot of civil actions going on, including multiple securities class actions ...

From the program: Handling a Securities Case 2013: From Investigation to Trial and Everything in Between

Released on: May. 9, 2013

The landscape of securities litigation is constantly evolving and changing. This program takes you through all the issues that arise in even the most complex securities matters - from the initial government investigation to the filing of the civil cases to either settlement or trial. If you practice in this dynamic field, you know that the need to stay current and develop new strategies and tactics has never been more important. Our faculty of leading ...

Recorded on: Jun. 28, 2012

STEVEN R. PEIKEN: Thanks, Rich. Sounds like my mom wrote that introduction. We have a great group of panelists, and let me introduce them to you briefly before we jump into this. So seated immediately to my right is David Anders, who's a partner at Wachtell, Lipton, Rosen & Katz, where his practice focuses on the representation of Fortune 500 and other companies in white collar criminal and related investigations. Before joining Wachtell, Lipton, ...

Recorded on: Jun. 28, 2012

HELEN: Welcome back everybody. It's my pleasure to introduce the moderator of our next panel, Mei Lin Kwan-Gett. And I'll let her introduce her other panelists. Mei Lin is a partner at Willkie Farr & Gallagher here in New York and is the co-head of that firms White Collar Criminal Defense Practice Group. Mei Lin specializes in white collar criminal defense, regulatory enforcement matters, internal investigations, and complex commercial litigation. Before ...

Recorded on: Jun. 28, 2012

RICHARD J. MORVILLO: This next panel is going to be talking about actually conducting the investigation. It took us a better part of an hour and 45 minutes to talk about all the background. And we are very fortunate to have another esteemed panel of experts in the area. And I'll introduce them. Nancy needs no introduction. To Nancy's right is David Brodsky, who is a partner at Cleary Gottlieb here in New York, who-- and this is going to be a refrain ...

From the program: Delaware Law Developments 2012: What All Business Lawyers Need to Know

Recorded on: Jun. 18, 2012

Taken from the Web Program Delaware Law Developments 2012: What All Business Lawyers Need to Know Recorded June 2012 in New York City Lecture Topics He Did What?! He Said What?! Ethical Issues in Representing Representative Clients [01:00:08] This panel will discuss the challenges counsel face when representing or opposing representative clients - What are the ethical obligations of counsel when they learn facts that may undermine ...

From the program: Enforcement 2013: Perspectives from Government Agencies

Recorded on: Apr. 29, 2013

Taken from the Web Program Enforcement 2013: Perspectives from Government Agencies recorded April, 2013 in New York.Lecture Topics  [00:59:26]Legal Issues in the Courts: The Year in Review  [00:59:26]The purchase price of this segment includes the following article from the Course Handbook available online: What More Can be Done to Deter Violations of the Federal Securities Laws?, Texas Law Review, Vol. 90, pp. 1849–1889 (2012)David ...

From the program: Securities Regulation Institute (44th Annual)

Released on: Nov. 21, 2012

PLI's Annual Institute on Securities Regulation has become the most highly anticipated annual review of the current state of securities, financial regulation, and corporate law and practice. As always, we strive to bring you the most up-to-date information in response to the many developments of the past year. We continue to see significant changes in the securities laws field - as a result of the enactment of the JOBS Act, changes to the ...

Course Handbook from the program ERISA Litigation 2010, held September 2010.

Recorded on: Apr. 27, 2012

LYLE ROBERTS: Great. So let's get started with our final panel of the day. And really the reason we're all here of course, which is to do some ethics and ethical issues in complex securities litigation. And with me today for the final panel I have Felipe Arroyo, who is with Robbins Umeda. We've got Paul Gluckow at Simpson Thacher. Harold Gordon with Jones Day. And Jim Windels with Davis Polk. All of whom have extensive experience in securities litigation. And ...

Course Handbook from the program Financial Crisis Fallout 2010: Emerging Enforcement Trends, held November, 2010.

From the program: Fundamentals of Mutual Funds and Exchange-Traded Funds 2012

Recorded on: Jun. 11, 2012

Taken from the Web Program Fundamentals of Mutual Funds and Exchange-Traded Funds 2012 recorded June, 2012 in New York. Lecture Topics  [01:00:11] Litigation Involving Mutual Funds  [01:00:11] Private rights of action under the Investment Company Act Excessive fee cases The mutual fund as plaintiff The purchase price of this segment includes the following article from the Course Handbook available online:  ...

From the program: Handling a Securities Case 2012: From Investigation to Trial and Everything in Between

Released on: Jun. 7, 2012

DVD's from the program Handling a Securities Case 2012: From Investigation to Trial and Everything in Between, held April, 2012.

From the program: Internal Investigations 2012: How to Protect Your Clients or Companies in the Global, Post-Dodd Frank World

Recorded on: Jun. 28, 2012

Taken from the Web Program Internal Investigations 2012: How to Protect Your Clients or Companies in the Global, Post-Dodd Frank World recorded June, 2012 in New York. Lecture Topics  [01:30:44] Conducting the Investigation  [01:30:44] A. Considerations, Processes and Procedures Gathering documents Employee interviews Employee issues and obligations: advice, rights and liability in light of recent cases Former ...

Course Handbook from the program Investment Management Institute 2012, held February 9th - 10th, 2012.

Recorded on: Feb. 28, 2013

Taken from the Web Program The SEC Speaks in 2013 Recorded February, 2013 in Washington Judicial and Legislative Developments [01:01:55] Aiding and abetting the violation of antifraud provisions Brokerage firm liability for sales representatives’ misrepresentations Insider trading liability Statute of limitations for civil penalties Court approval of consent judgments First Amendment challenge to Commission’s ...

Recorded on: Dec. 17, 2012

N. ADELE HOGAN: OK. Hi. Welcome back, everybody, after the break. So now is an important panel because we're going to focus on securities and liability and litigation. And this is the ammunition you need to help your clients get through their problems and also to counsel your clients, particularly on the corporate side, so they don't get into problems or the problems are contained. So I'm really thrilled today to have three prestigious practitioners ...

Recorded on: Dec. 18, 2012

Taken from the Web Program Understanding the Securities Laws 2012 Recorded December, 2012 in New York Liability for Securities Law Violations [01:28:04] Securities Act - Sections 11, 12, 15 and 17 - Effect of the JOBS Act - Indemnification and contribution Exchange Act - Section 10 and Rule 10b-5 - Insider trading and selective disclosure “Controlling person” liability International issues The ...

Recorded on: Feb. 13, 2012

BARRY P. BARBASH: Good morning, all. Thank you for coming up today for day two of the Investment Management institute. Paul and I, every year sit down after a conference, and then a few months after that get together again and think about what we're going to do differently from one year to the next. And coming into this year, I'm not sure either of us-- because we're both generally corporate lawyers-- really wanted to acknowledge it, but ultimately ...