Seminar  Seminar

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

Why you should attend

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.

What you will learn

  • How to approach the initial investigation and work with state and federal regulators in the interests of your clients
  • How to assess the civil complaints and coordinate multi-district actions
  • How to litigate the case through the pleadings, discovery, class certification and summary judgment
  • How to approach mediation and settlement of a securities action
  • How to try a securities litigation or arbitration
  • How to approach and assess ethical issues associated with complex securities litigation

Who should attend

This program is designed for securities practitioners, outside and in-house counsel, compliance officers, regulators, investment bankers and securities dealers.

Morning Session:  9:00 a.m. - 12:30 p.m.

9:00  Introduction

Lyle Roberts, Jonathan K. Youngwood

9:15  The Investigation: Coordinating Requests from Government Regulators

  • Practices and strategies for internal investigations
  • Considering the effect of regulatory proceedings on future civil actions
  • Defense and government perspectives on regulatory proceedings
  • Managing multiple proceedings

Moderator: Lyle Roberts
Adam S. Hakki, Brad S. Karp, Carmen J. Lawrence, Ghillaine A. Reid

10:15  Commencement of a Civil Action: Filing the Complaint, Preparing the Motion to Dismiss, Coordinating Multiple Actions

  • The plaintiffs’ perspective: investigating the claim and filing the complaint
  • The defendants’ perspective: analyzing the potential motion to dismiss
  • Recent developments in securities law
  • Coordinating multi-district actions

Moderator: Jonathan K. Youngwood
Karin A. DeMasi, William C. Fredericks, Koji Fukumura, David A. Rosenfeld

11:15  Networking Break

11:30  Prosecuting and Defending the Civil Action: Class Certification, Fact Discovery, Experts and Summary Judgment Motions

  • Recent developments in class certification standards
  • Strategies for fact discovery
  • Selecting, preparing and presenting an expert
  • Crafting an effective summary judgment motion

Moderator: Lyle Roberts
David Daniels, Jonathan Gardner, Colby A. Smith, David Travin

12:30  Lunch

Afternoon Session:  1:30 p.m. - 5:00 p.m.

1:30  Seeking Resolution: Strategies in Mediation and Settlement

  • Mediation techniques
  • Settlement strategies
  • Use of experts
  • D&O liability issues

Moderator: Mark E. Segall
Dr. Patrick Conroy, Patrick V. Dahlstrom, Elaine M. Divelbliss, Thomas McCormack, Jonathan K. Youngwood

2:45  Trial of the Civil Action or Arbitration

  • Plaintiffs’ perspective: amassing and presenting effective evidence
  • Defendants’ perspective: defending the securities case
  • Special considerations for securities arbitrations

Moderator: Lyle Roberts
John C. Browne, Marc De Leeuw, Jordan Eth

3:45  Networking Break

4:00  Ethical Issues in Complex Securities Litigation

  • Drafting the complaint and the use of confidential witnesses
  • Crafting a motion to dismiss limited by the allegations in the complaint
  • Selecting the forum and interactions between plaintiff and defendant groups
  • Retention of discovery materials

Moderator: Jonathan K. Youngwood
Felipe J. Arroyo, Paul C. Gluckow, Sara Ricciardi, James H.R. Windels

5:00  Adjourn

Lyle Roberts ~ Cooley LLP
Jonathan K. Youngwood ~ Simpson Thacher & Bartlett LLP
Felipe J. Arroyo ~ Robbins Arroyo LLP
John C. Browne ~ Bernstein Litowitz Berger & Grossmann LLP
Dr. Patrick Conroy ~ Chair of Securities and Finance Practice and Senior Vice President, National Economic Research Associates (NERA)
Patrick V. Dahlstrom ~ Pomerantz Haudek Block Grossman & Gross
David Daniels ~ Richards Kibbe & Orbe LLP
Karin A. DeMasi ~ Cravath, Swaine & Moore LLP
Elaine M. Divelbliss ~ Senior Counsel, Sprint Nextel Corporation
Jordan Eth ~ Morrison & Foerster LLP
William C. Fredericks ~ Scott + Scott LLP
Koji Fukumura ~ Co-Chair, Securities Litigation Practice Group, Cooley LLP
Jonathan Gardner ~ Partner, Labaton Sucharow LLP
Paul C. Gluckow ~ Simpson Thacher & Bartlett LLP
Adam S. Hakki ~ Global Head of Litigation, Shearman & Sterling LLP
Brad S. Karp ~ Chairman, Paul, Weiss, Rifkind, Wharton & Garrison LLP
Carmen J. Lawrence ~ King & Spalding LLP
Marc De Leeuw ~ Sullivan & Cromwell LLP
Thomas McCormack ~ U.S Claims Officer -- Directors & Officers, Financial Lines Claims, AIG Property Casualty, AIG
Ghillaine A. Reid ~ Gibbons P.C.
Sara Ricciardi ~ Shearman & Sterling LLP
David A. Rosenfeld ~ Robbins Geller Rudman & Dowd LLP
Mark E. Segall ~ Mediator and Arbitrator, JAMS
Colby A. Smith ~ Debevoise & Plimpton LLP
David A. Travin ~ Excecutive Director & Counsel, UBS AG
James H.R. Windels ~ Davis Polk & Wardwell LLP
Program Attorney(s)
Laurie Gilbertson ~ Practising Law Institute
New York City Seminar Location

PLI New York Center, 810 Seventh Avenue at 53rd Street (21st floor), New York, New York 10019. Message Center, program days only: (212) 824-5733.

New York City Hotel Accommodations

The New York Hilton & Towers1335 Avenue of the Americas, New York, NY 10019. 1 block from PLI Center. Reservations 1-800-HILTONS or, 1-877-NYC-HILT. Please mention that you are booking a room under the Practising Law Institute Corporate rate and the Client File # is 0495741. You can also make reservations online to access Practising Law Institute rates.

The Warwick New York Hotel, 65 West 54th Street New York, NY 10019. 1 block from PLI Center. Reservations 800-223-4099 or, hotel direct 212-247-2700. Please mention that you are booking a room under the Practising Law Institute Corporate rate. Reservations on line at Click reservations in menu bar on left. Select desired dates. In 'Special Rates' drop down window select Corporate Rate. In 'Rate Code' enter PLIN. Click search and select desired room type and rate plan. Or, you may email reservation requests to:

Sheraton New York Hotel & Towers, 811 7th Avenue, New York, NY 10019, 1-800-325-3535 or (212) 581-1000. When calling, please mention Practising Law Institute and mention SET#311155. You may also book online.

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Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys.  All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.

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.

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.

Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.

Item# 43079
Location:  New York, NY
We are sorry, but this program is no longer available for purchase online. For more information please call our Customer Service Department at (800) 260-4PLI.

Seminar attendance includes course handbook and associated course materials. A downloadable course handbook will also be available several days prior to the program start for your review.