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

Released on: May. 10, 2012
Running Time: 06:26:37

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 practitioners, government officials, and judges will update you on the latest best practices and case law.

Lecture Topics  [Total time 06:26:37]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Introduction* [00:16:22]
    Lyle Roberts, Jonathan K. Youngwood
  • The Investigation: Coordinating Requests from Government Regulators [00:55:40]
    Adam S. Hakki, Carmen J. Lawrence, Ghillaine A. Reid, Robert M. Stern
  • Commencement of a Civil Action: Filing the Complaint, Preparing the Motion to Dismiss, Coordinating Multiple Actions [00:57:10]
    Karin A. DeMasi, William C. Fredericks, Jonathan E. Richman, David A. Rosenfeld
  • Prosecuting and Defending the Civil Action: Class Certification, Fact Discovery, Experts and Summary Judgment Motions [01:01:30]
    Tracey Cushing Gilliam, Arthur S. Greenspan, Henry Rosen, Jonathan R. Tuttle
  • Seeking Resolution: Strategies in Mediation and Settlement [01:16:30]
    Dr. Patrick Conroy, Stanley M. Grossman, Amanda T. Perez, Thomas McCormack, Mark E. Segall
  • Trial of the Civil Action or Arbitration [00:56:30]
    Jordan Eth, Gregory A. Markel, James R. Swanson
  • Ethical Issues in Complex Securities Litigation [01:02:55]
    Felipe J. Arroyo, Marc De Leeuw, Paul C. Gluckow, James H.R. Windels, Harold K. Gordon

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • The Impact of the Financial Crisis on the Regulatory Landscape and the Resulting Implications for Securities Class Action Litigation
    Adam S. Hakki
  • The Benefit of a Crisis Management Plan Before the Crisis Hits
    Carmen J. Lawrence
  • Application of American Pipe Tolling to Statutes of Repose: From the Supreme Court's Seminal Decisions to the Current Split Within the Second Circuit
    Karin A. DeMasi
  • Bringing a Claim for Securities Fraud: Pre-Filing Investigation to Complaint
    William C. Fredericks
  • Fraud? Foreign Purchase? Forget It! "Foreign-Cubed" and Other Foreign-Issuer Cases After Morrison
    Ralph C. Ferrara, Jonathan E. Richman
  • Transnational Class Actions and Judgment Recognition
    Jonathan E. Richman
  • Recent Developments Regarding Class Certification
    Arthur S. Greenspan
  • The Implications of Janus on the Enforcement of Securities Laws
    Jonathan R. Tuttle
  • Federal Court Approval of Class Action Settlements
    Jonathan K. Youngwood
  • Sample Mediation Statement
    Stanley M. Grossman
  • Securities Class Action Jury Trials Since In re JDS Uniphase Corporation Securities Litigation: No Clean Victories
    Jordan Eth
  • Why Might a Broker Prefer to Be in Court, Not Arbitration?
    James R. Swanson
  • The Use of Confidential Witnesses in Securities Litigation
    Paul C. Gluckow
  • A Litigant's Duty to Preserve Documents: Recent Developments in Timing and Scope
    Joan E. McKown
  • Index to Handling a Securities Case 2012

Presentation Material

  • Introduction (By The Numbers)
    Lyle Roberts, Jonathan K. Youngwood
  • Introduction
    Lyle Roberts, Jonathan K. Youngwood
  • The Investigation: Coordinating Requests from Government Regulators (Handout)
    Ghillaine A. Reid
  • The Investigation: Coordinating Requests from Government Regulators
    Adam S. Hakki, Carmen J. Lawrence, Ghillaine A. Reid, Robert M. Stern
  • Commencement of a Civil Action: Filing the Complaint, Preparing the Motion to Dismiss, Coordinating Multiple Actions
    Karin A. DeMasi, William C. Fredericks, Jonathan E. Richman, David A. Rosenfeld
  • Prosecuting and Defending the Civil Action: Class Certification, Fact Discovery, Experts and Summary Judgment Motions
    Tracey Cushing Gilliam, Arthur S. Greenspan, Henry Rosen, Jonathan R. Tuttle
  • Seeking Resolution: Strategies in Mediation and Settlment
    Dr. Patrick Conroy, Stanley M. Grossman, Amanda T. Perez, Thomas McCormack, Mark E. Segall
  • Trial of the Civil Action or Arbitration
    Jordan Eth, Gregory A. Markel, James R. Swanson
  • Ethical Issues in Complex Securities Litigation
    Felipe J. Arroyo, Marc De Leeuw, Paul C. Gluckow, James H.R. Windels, Harold K. Gordon
Co-Chair(s)
Lyle Roberts ~ Cooley LLP
Jonathan K. Youngwood ~ Simpson Thacher & Bartlett LLP
Moderator(s)
Mark E. Segall ~ Mediator and Arbitrator, JAMS
Speaker(s)
Felipe J. Arroyo ~ Robbins Arroyo LLP
Dr. Patrick Conroy ~ Chair of Securities and Finance Practice and Senior Vice President, NERA Economic Consulting
Marc De Leeuw ~ Sullivan & Cromwell LLP
Karin A. DeMasi ~ Cravath, Swaine & Moore LLP
Jordan Eth ~ Morrison & Foerster LLP
William C. Fredericks ~ Scott + Scott LLP
Tracey Cushing Gilliam ~ Special Counsel to the General Counsel, Legal Department, JPMorgan Chase & Co
Paul C. Gluckow ~ Simpson Thacher & Bartlett LLP
Harold K. Gordon ~ Jones Day
Arthur S. Greenspan ~ Richards Kibbe & Orbe LLP
Stanley M. Grossman ~ Pomerantz Grossman Hufford Dahlstrom & Gross
Adam S. Hakki ~ Global Head of Litigation, Shearman & Sterling LLP
Carmen J. Lawrence ~ King & Spalding
Gregory A. Markel ~ Cadwalader, Wickersham & Taft LLP
Thomas McCormack ~ U.S Claims Officer -- Directors & Officers, Financial Lines Claims, AIG Property Casualty, AIG
Amanda T. Perez ~ Senior Corporate Counsel, Pfizer Inc.
Ghillaine A. Reid ~ Gibbons P.C.
Jonathan E. Richman ~ Dewey & LeBoeuf LLP
Henry Rosen ~ Robbins Geller Rudman & Dowd LLP
David A. Rosenfeld ~ Robbins Geller Rudman & Dowd LLP
Robert M. Stern ~ O'Melveny & Myers LLP
James R. Swanson ~ Fishman Haygood Phelps Walmsley Willis & Swanson, L.L.P.
Jonathan R. Tuttle ~ Debevoise & Plimpton LLP
James H.R. Windels ~ Davis Polk & Wardwell LLP

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Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.


Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

*PLI will apply for credit upon request. Louisiana and New Hampshire: PLI will apply for credit upon request for audio-only on-demand web programs.


1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

 

2Iowa:  The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

3Missouri:  On-demand web programs are restricted to six hours of self-study credit per year.  Self-study may not be used to satisfy the ethics requirements.  Self-study can not be used for carryover credit.

 

4New Hamphsire:  The approval is for three years from recorded date.

5New Mexico:  On-Demand web programs are restricted to 4.0 self-study credits per year. 


6New York:  Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats. 

7North Carolina:  A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs. 


8Ohio:  To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us.  Online programs are considered self-study.  Ohio attorneys have a 6 credit self-study limit per compliance period.  The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

9Oklahoma:  Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.


10Pennsylvania:  PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.
 

11Rhode Island:  Audio Only On-Demand Web Programs are not approved for credit.  On-Demand Web Programs must have an audio and video component.

12Tennessee:  The approval is for the calendar year in which the live program was presented.

13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

14Wisconsin: Ethics credit is not allowed.  The ethics portion of the program will be approved for general credit.  There is a 10 credit limit for on-demand web programs during every 2-year reporting period.  Does not approve of Audio-only On-Demand Webcasts.


Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.


If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.


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