Securities Litigation & Enforcement Institute 2009

Overview

Why You Should Attend

The global financial crisis, against the backdrop of recent Supreme Court cases, has increased the focus on securities cases and is changing the landscape. The need to stay current and develop new strategies and tactics has never been more important. Our faculty of leading practitioners, SEC officials, federal prosecutors and judges will update you on the latest case law, enforcement initiatives, emerging trends, and breaking developments.

What You Will Learn

• Strategies for prosecuting and defending the securities fraud class action
• How the courts are applying Stoneridge’s rejection of “scheme liability”
• What the financial crisis means for securities litigation
• Government enforcement initiatives and how to deal effectively with the government
• Criminal investigation and prosecution of securities violations
• The latest on corporate governance litigation
• Developments in auditor liability
• Ethical issues for securities lawyers

Who Should Attend

This Institute is designed for the intermediate to advanced securities practitioner, outside and in-house counsel, compliance officers, regulators, investment bankers and securities dealers.

Special Features

PLI is honored that Vice Chancellor Stephen P. Lamb of the Delaware Court of Chancery will address changes in Delaware law (New York City only).

Live Webcast - Simultaneous live webcast of the New York session is available for individual viewing. Webcast participants will receive streaming audio and/or video of the program, view and print the Course Handbook, and have the ability to submit questions electronically.

For more information click on the Live Webcast link in the Related Items box.

Special Bonus to all Registrants

All attendees will receive a complimentary copy of PLI's comprehensive Course Handbook. This softcover, bound volume was written to augment the program and to stand alone as a permanent reference. PLI's Course Handbooks represent the definitive thinking of the nation's finest legal minds, and are often the standard reference in the field.

Please Note: Webcast attendees will receive a downloadable version of the Handbook one business day prior to the program.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount.  For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Schedule

Please plan to arrive with enough time to register before the conference begins. A networking breakfast will be available upon your arrival.

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

9:00  Opening Remarks and Introduction

• Hot issues and cutting-edge developments in securities litigation
• Trends and predictions

Jerome F. Birn, Jr., David Siegel

9:15  Today's Securities Litigation Frontier - Plaintiff and Defense Perspectives

• The financial crisis and securities litigation
• Recent developments in pleading standards
• Corporate scienter
• Applying Stoneridge
• Developments in auditor liability

Jerome F. Birn, Jr. (Moderator), Jonathan C. Dickey, Reed R. Kathrein, David H. Kistenbroker, Meredith Nelson Landy, Blair A. Nicholas, Sherrie R. Savett, Shirli Fabbri Weiss

11:15  Networking Break

11:30  Corporate Governance Litigation

• Overview of recent Delaware and other key state decisions
• Developments in merger litigation
• Update on options cases

Jerome F. Birn, Jr. (Moderator), Douglas J. Clark, Paul H. Dawes, Joy A. Kruse, Eric L. Zagar

12:30  Lunch

Afternoon Session: 1:45 p.m. - 5:00 p.m.

1:45  Case Management and Settlement Issues in Securities Litigation

• Filing and settlement trends
• Mediation techniques
• Use of experts
• D&O liability issues

Jerome F. Birn, Jr. (Moderator), Travis E. Downs, III, Dr. Allan W. Kleidon, David W. Steuber

2:45  Government Initiatives and Perspectives/How to Deal Effectively with the Government

• SEC and DOJ trends in the Obama Administration
• Financial crisis cases
• Recent insider trading cases
• Actions against lawyers, accountants and other gatekeepers

David Siegel (Moderator), Walter F. Brown, Jr., Jordan Eth, Marc J. Fagel, Daniel P. Lefler, Jan Nielsen Little, Doug Sprague

3:45  Networking Break

4:00  Government Initiatives and Perspectives/How to Deal Effectively with the Government (continued)

• Practices and strategies for internal investigations
• Preserving privilege and work product
• Criminal investigation and prosecution of securities fraud
• Defense perspectives on recent SEC and DOJ actions
• Managing multi-prong proceedings involving the government and private litigants

David Siegel (Moderator), Walter F. Brown, Jr., Jordan Eth, Marc J. Fagel, Daniel P. Lefler, Jan Nielsen Little, Doug Sprague

5:00  Adjourn

Faculty

Co-Chair(s)

Jerome F. Birn, Jr., Wilson Sonsini Goodrich & Rosati, P.C.
David Siegel, Irell & Manella LLP

Speaker(s)

Walter F. Brown, Jr., Orrick Herrington & Sutcliffe LLP
Douglas J. Clark, Wilson Sonsini Goodrich & Rosati, P.C.
Paul H. Dawes, Latham & Watkins LLP
Jonathan C. Dickey, Gibson, Dunn & Crutcher LLP
Travis E. Downs III, Robbins Geller Rudman & Dowd LLP
Jordan Eth, Morrison & Foerster LLP
Marc J. Fagel, Regional Director, San Francisco Regional Office, U.S. Securities and Exchange Commission, San Francisco District Office
Reed R. Kathrein, Hagens Berman Sobol & Shapiro LLP
David H. Kistenbroker, Managing Partner, Chicago, Katten Muchin Rosenman LLP
Allan W. Kleidon, Ph.D., Senior Vice President, Cornerstone Research
Joy A. Kruse, Lieff Cabraser Heimann & Bernstein, LLP
Meredith Nelson Landy, O'Melveny & Myers
Daniel P. Lefler, Irell & Manella LLP
Jan Nielson Little, Keker & Van Nest LLP
Blair A. Nicholas, Bernstein Litowitz Berger & Grossmann LLP
Jan Nielsen Little, Keker & Van Nest LLP
Sherrie R. Savett, Managing Principal and Chair of the Securities Litigation Department, Berger & Montague, P. C.
Doug Sprague, Chief, White Collar Crime Section, United States Attorney's Office
David W. Steuber, Howrey LLP
Shirli Fabbri Weiss, DLA Piper LLP (US)
Eric L. Zagar, Barroway Topaz Kessler Meltzer & Check, LLP

Program Attorney(s)

Laurie Gilbertson, Practising Law Institute

CLE Credit

Travel Information

San Francisco Seminar Location

PLI California Center, 685 Market Street, San Francisco, California 94105. (415) 498-2800.

San Francisco Hotel Accommodations

The Palace Hotel, 2 New Montgomery Street, San Francisco, California 94105. Call (800) 917-7456 seven days a week from 6:00 am to 12:00 am (PDT) and mention you are attending this program at Practising Law Institute to receive the preferred rate. For online reservations, go to www.sfpalace.com/pli to receive the preferred rate.

Due to high demand we recommend reserving hotel rooms as early as possible.