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Philadelphia Bar Association

Topcap Invite

Date:
Thursday, November 10, 2016

Time:
9:00 AM

Location:
Philadelphia Bar Association
11th Floor Conference Center
1101 Market Street
Philadelphia, PA 19107

4 SUB/1 ETH

Registration Info:
Registration:
8:30 AM

Program:
9:00 AM - 3:00 PM

Lunch is included with tuition.

CLICK HERE TO REGISTER FOR THIS CLE PROGRAM

FACULTY:
Please see the full complement of our expert faculty to the right.

Many thanks to this year's course planners:

William Despo, Esq.
Despo Law Group; Chair, Securities Litigation and Regulatory Enforcement Committee, New Jersey State Bar

Denis C. Dice, Esq. Marshall Dennehey Warner Coleman & Goggin, P.C.

Katayun I. Jaffari, Esq., Ballard Spahr LLP

Peter A. Jaslow, Esq., Ballard Spahr LLP

Graham R. Laub, Esq., Dilworth Paxson, LLP

Miriam Lefkowitz, Esq., Chief Legal Officer, Summit Financial Resources, Inc./Summit Equities, Inc.

Terry Reilly, Esq., Montgomery McCracken Walker & Rhoads LLP

Joel M. Wertman, Esq., Marshall Dennehey Warner Coleman & Goggin, P.C.

2016 Securities Litigation & Regulatory Update

CLE - 2016 Securities Litigation & Regulatory Update

Co-hosted by the Philadelphia Bar Association Securities Regulations Committee and the New Jersey Bar Association Securities Law Committee

As regulations continue to change and lawsuits, investigations and enforcement actions continue apace, it is critical that securities practitioners and litigators keep up with the latest developments. Join colleagues from both sides of the Delaware for an annual update in securities litigation and regulatory practice with a full-day program that explores and profiles significant developments and trends in securities laws.

  • Review the developments of the past year
  • Gain perspective from regulators and prepare for 2017 and beyond
  • See how Cybersecurity affects it all
  • Earn Ethics Credits

Hear from regulators and practitioners regarding latest trends in securities laws and hot topics, related to:

  • Regulatory and enforcement activities
    • What are the significant legal developments of the past year?
    • What will they be looking for in 2017
  • Capital markets
    • Is Dodd-Frank complete?
    • How is Crowdfunding going?
    • Where are we on the SEC's efforts with respect to disclosure effectiveness?
  • Broker dealers,investment advisers and funds
    • What are the best-practices and effective strategies to help navigate today's evolving financial environment?
  • Ethics
    • What are the lawyers' obligations for a client's wrongdoing?

    Don't miss this annual update featuring prominent securities litigators and lawyers, high-level enforcement officials, senior in-house counsel and economists!

    Program Schedule

    Program Introduction and Overview

    William Despo, Esq.
    Despo Law Group; Chair, Securities Litigation and Regulatory Enforcement Committee, New Jersey State Bar
    Graham R. Laub, Esq., Dilworth Paxson, LLP

    Broker-Dealer Current Events

    Matthew J. Gavaghan, Esq., Janney Montgomery Scott
    Atea Martin, Esq., Berkshire Hathaway Specialty Insurance
    David W. Snyder, Esq., Senior Counsel, Market Abuse Unit, Division of Enforcement, U.S. Securities and Exchange Commission
    Joel M. Wertman, Esq., Marshall Dennehey Warner Coleman & Goggin, P.C.

    Investment Adviser Current Events

    Terry Reilly, Esq., Montgomery McCracken Walker & Rhoads LLP
    Miriam Lefkowitz, Esq., Chief Legal Officer, Summit Financial Resources, Inc./Summit Equities, Inc.
    Joan M. Neri, Esq., Drinker Biddle & Reath LLP

    Corporation Finance Update

    Katayun I. Jaffari, Esq., Ballard Spahr LLP
    Justin B. Ettelson, Esq., Saul Ewing LLP
    Jill Stadelman, Esq., Securities Counsel, Cigna Corporation
    Christine A. Zoino, Esq., Senior Counsel, Securities & Finance, NRG Energy, Inc.

    Hear from the Regulators

    Peter A. Jaslow, Esq., Ballard Spahr LLP
    Suzanne C. Abt, Esq., Senior Counsel, U.S. Securities and Exchange Commission
    Robert B. Kaplan, Esq., Vice President and District Director, Financial Industry Regulatory Authority (FINRA)
    Scott A. Lane, Esq., Senior Deputy Chief Counsel, PA Department of Banking and Securities, Office of Chief Counsel
    Laura H. Posner, Esq., Bureau Chief, New Jersey Bureau of Securities

    Ethics: Securities Lawyers’ Obligations for a Client’s Wrongdoing

    William Despo, Esq., Despo Law Group
    Graham R. Laub, Esq., Dilworth Paxson, LLP
    Prof. of Law Michael Ambrosio, Seton Hall University School of Law
    Paul T. Chryssikos, Esq., Vice President, Regulatory & Litigation Counsel, Lincoln Financial Group

    Program agenda is subject to change.

    CLE logo

    New Jersey State Bar Association

    "Bounty from the Bar Food Drive" Until Nov. 16.

    The Young Lawyers Division is requesting nutritious, nonperishable food donations for the "Bounty from the Bar Food Drive" in partnership with Philabundance. Philabundance food collection boxes are available until Nov. 16 at the Philadelphia Bar Association in the 10th Floor Board Room and outside of the 11th Floor Conference Center. Food items are preferred, but monetary donations are also accepted. Click here to donate online.

    Let us work together to help provide some relief for the hungry!

    Bottomcap Invite