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Litigation

Securities

Recorded on: May. 1, 2013

Taken from the Web Program Handling a Securities Case 2013: From Investigation to Trial and Everything in Between Recorded April, 2013 in New YorkCommencement of a Civil Action: Filing the Complaint, Preparing the Motion to Dismiss, Coordinating Multiple Actions [01:05:55] The plaintiffs’ perspective: investigating the claim and filing the complaint The defendants’ perspective: analyzing the potential motion to dismiss Recent developments in ...

Recorded on: Oct. 26, 2012

Taken from the Web Program Advanced Swaps & Other Derivatives 2012 Recorded October, 2012 in New York Enforcement, Litigation & Insolvency and Resolution Authority: Netting Opinions; Safe Harbors; Orderly Liquidation Part 1 [00:34:05] Review of recent cases of interest to the OTC derivatives market, including flip clauses, multilateral netting, and more Fraud prosecutions (synthetic structures and Rule 10b-5) What the recent ...

Recorded on: Nov. 15, 2012

Taken from the Web Program 44th Annual Institute on Securities Regulation Recorded November, 2012 in New York Enforcement Roundtable [01:33:43] Financial crisis cases - the SEC/DOJ keep charging ahead Hedge funds and private equity - the SEC/DOJ are looking - what are they finding? Insider trading - something old or something new? The crowded enforcement landscape - the SEC/DOJ are joined by international regulators, the courts ...

Recorded on: Jun. 20, 2012

Taken from the Web Program Delaware Law Developments 2012: What All Business Lawyers Need to Know Recorded June, 2012 in New York He Did What?! He Said What?! Ethical Issues in Representing Representative Clients [01:00:57] 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 a representative plaintiffs’ ...

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: Apr. 29, 2013

Taken from the Web Program Enforcement 2013: Perspectives from Government Agencies Recorded April, 2013 in New YorkLegal Issues in the Courts: The Year in Review [01:00:09]The purchase price of this segment includes the following article(s) 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 M. Becker

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: Jun. 11, 2012

Taken from the Web Program Fundamentals of Mutual Funds and Exchange-Traded Funds 2012 Recorded June, 2012 in New York Litigation Involving Mutual Funds [01:00:51] 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(s) from the Course Handbook available online: Excessive Fee Litigation and The Investment ...

Recorded on: Oct. 4, 2012

Taken from the Web Program White Collar Crime 2012: Prosecutors and Regulators Speak Recorded October, 2012 in New York Review of Significant Cases and Recent Developments [01:09:01] What are the important developments over the past year in the area of white collar enforcement? What are the current priorities for prosecutors and regulators? How can defense counsel effectively represent their clients in the current environment? The ...