5th Annual Securities Litigation & Enforcement Institute

March 1, 2017 | 9 am – 6 pm

Networking Luncheon and Reception Included



Program Co-Chairs:                               Kickoff Reception Speaker:        Keynote Speaker:


Lawrence Zweifach
Gibson Dunn & Crutcher LLP

Greg Markel
Seyfarth Shaw LLP


Honorable Loretta A. Preska
United States District Court Judge, SDNY

Honorable Jed S. Rakoff
United States District Judge, SDNY








  • In the past year, there have been numerous, significant developments in securities litigation and enforcement.  While lawsuits arising from the credit crisis continue to be on the wane, a new wave of traditional securities class actions has replaced them.  At the same time, financial institutions are being confronted with an increasing number of investigations and enforcement actions conducted by federal, state, and foreign regulators.  Audit firms, in turn, are facing more investigations by the PCAOB and SEC than ever before. Finally, the courts continue to issue decisions that substantially affect the strategies to be employed in prosecuting and defending securities and derivative litigation.  As these lawsuits, investigations and enforcement actions continue apace, it is critical that securities litigators and enforcement lawyers keep up with the latest developments.

    This full-day program will provide a comprehensive overview of recent trends, developments and cutting-edge issues in securities litigation and enforcement.  The panels will include prominent securities litigators, senior in-house counsel at major financial institutions and corporations, nationally recognized trial lawyers, jury consultants, and economists.

    The Keynote Address will be given by the Honorable Jed S. Rakoff, United States District Judge for the Southern District of New York.

    The morning plenary session will cover hot button issues in securities class actions, including the impact of recent decisions by the U.S. Supreme Court.  The afternoon plenary session will provide the perspective of senior in-house counsel on managing multiple regulatory investigations and parallel, private securities litigation. Break-out sessions will explore: critical issues in shareholder activism and M&A litigation; best practices in internal investigations; the trial of a securities case; and how to handle SEC and PCAOB investigations.       

    Kickoff Reception |Tuesday, February 28, 2017 | 6:30 pm-8:30 pm
    Don’t miss this opportunity to hear from Honorable Loretta A. Preska, Chief Judge of the United States District Court for the Southern District of New York and to network in a more intimate setting the evening before the Institute. This reception is included in the institute price and all registrants and faculty are encouraged to attend.

    Live Program & Webcast$599 Member | $699 Nonmember
    In-House Counsel: $349 Member | $449 Nonmember
    Gov’t/Nonprofit/Academic: $249 Member | $349 Nonmember

  • Martine M. Beamon
    Davis Polk & Wardwell LLP

    Richard M. Brand
    Cadwalader, Wickersham and Taft LLP

    Susan E. Brune
    Brune Law P.C.

    George S. Canellos
    Milbank, Tweed, Hadley & McCloy LLP

    Pamela Chepiga
    Allen & Overy LLP

    Professor John C. Coffee, Jr.
    Adolf A. Berle Professor of Law
    Columbia Law School

    Scott Corrigan
    General Counsel, Americas
    Standard Chartered Bank

    Karin A. DeMasi
    Cravath, Swaine & Moore LLP

    John P. DiTomo
    Morris Nichols Arsht & Tunnell LLP

    John M. Driscoll
    Head – Litigation, Enforcement, and Investigations
    Societe Generale – Americas

    Christina B. Dugger
    Managing Director, Associate General Counsel
    JPMorgan Chase & Co.

    Matthew A. Evans
    Managing Director, Financial Advisory Services
    AlixPartners, LLP

    David Futterman
    Global Head of Litigation, Regulatory Inquiries,
    & Employment
    TD Bank Group

    Salvatore J. Graziano
    Bernstein Litowitz Berger & Grossmann LLP

    Steven M. Haber
    Global Litigation Manager
    Bloomberg Legal

    Dr. Elaine M. Harwood
    Vice President
    Cornerstone Research, Inc.

    Reiko Hasuike, Ph.D.
    R&D Strategic Solutions, LLC

    Dr. Vinita Juneja
    Managing Director
    Co-Chair of Global White Collar, Investigations & Enforcement Practice
    NERA Economic Consulting

    Brad S. Karp
    Paul, Weiss, Rifkind, Wharton & Garrison LLP

    David A. Katz
    Wachtell, Lipton, Rosen & Katz

    Mark A. Kirsch
    Gibson, Dunn & Crutcher LLP

    Andrew J. Levander
    Dechert LLP

    Maureen Lewis
    Co-Head of Global Internal Investigations

    Richard A. Martin
    Deputy General Counsel
    Deloitte Touche Tohmatsu Limited

    Gary A. Naftalis
    Kramer Levin Naftalis & Frankel LLP

    Gregory P. Nehro
    Global Head of Employment, Enforcement and Investigations
    The Bank of New York Mellon Corporation

    Sharon L. Nelles
    Sullivan & Cromwell LLP

    Brian E. Pastuszenski
    Goodwin Procter LLP

    William L. Prickett
    Seyfarth Shaw LLP

    Miles N. Ruthberg
    Latham & Watkins LLP

    Andrew Stemmer
    Head of Regulatory Enforcement for the Americas,
    Director and Senior Counsel
    Deutsche Bank AG

    Linda Chatman Thomsen
    Davis Polk & Wardwell LLP

    Jonathan R. Tuttle
    Debevoise & Plimpton LLP

    Jeroen van Kwawegen
    Bernstein Litowitz Berger & Grossmann LLP

    Theodore V. Wells Jr.
    Paul, Weiss, Rifkind, Wharton & Garrison LLP

    Bruce E. Yannett
    Debevoise & Plimpton LLP

    Karen Yen
    Managing Director, Head of Americas Litigation
    UBS AG

    David M. Zornow
    Skadden, Arps, Slate, Meagher & Flom LLP

  • 8:30 am – 9:00 am  Registration & Continental Breakfast sponsored by Latham & Watkins LLP
    9:00 am – 9:10 am Welcome Remarks
    Lawrence J. Zweifach
    9:10 am – 10:40 am Recent Developments in Securities Class Actions
    Moderator: Greg Markel
    Panelists: Dr. Vinita Juneja, Brad S. Karp, Mark A. Kirsch, Sharon L. Nelles, Brian E. Pastuszenski & Jeroen van Kwawegen
    10:40 am – 10:55 am Morning Coffee Break sponsored by Debevoise & Plimpton LLP
    10:55 am – 12:25 pm Morning Break-Out Sessions

    (a) Critical Issues in Shareholder Activism and M&A Litigation
    Moderator: Greg Markel
    Panelists: Richard M. Brand, Professor John C. Coffee, Jr., David A. Katz, Kenneth J. Nachbar & William L. Prickett 

    (b) Best Practices in Internal Investigations
    Moderator: David M. Zornow
    Panelists: Martine M. Beamon, Pamela Chepiga, John M. Driscoll, Matthew A. Evans, Maureen Lewis & Andrew Stemmer

    12:25 pm – 1:30 pm  Networking Luncheon
    1:30 pm – 2:10 pm Keynote Address
    Honorable Jed S. Rakoff
    2:10 pm – 3:30 pm An In-House Perspective On Managing Multiple Regulatory Investigations and Parallel, Private Securities Litigation
    Moderator: Bruce E. Yannett
    Panelists: Scott Corrigan, Christina B. Dugger, David Futterman, Steven M. Haber, Gregory P. Nehro & Karen Yen
    3:30 pm – 3:45 pm  Afternoon Coffee Break sponsored by Sullivan & Cromwell LLP
    3:45 pm – 5:00 pm Afternoon Break-Out Sessions

    (a) The Trial of A Securities Case sponsored by Cravath, Swaine & Moore LLP
    Moderator: Gary A. Naftalis
    Panelists: Susan E. Brune, Karin A. DeMasi, Salvatore J. Graziano, Dr. Reiko Hasuike, Andrew J. Levander & Theodore V. Wells Jr.

    (b) How to Handle SEC and PCAOB Investigations
    Moderator: Lawrence J. Zweifach
    Panelists: George S. Canellos, Dr. Elaine M. Harwood, Richard A. Martin, Miles N. Ruthberg, Linda Chatman Thomsen & Jonathan R. Tuttle

    5:00 pm – 6:30 pm Networking Reception sponsored by AlixPartners 

  • NY: 6.5 professional practice
    NJ: 6.7 general
    CA: 6.5 general
    PA: 6.0 general

  • Diamond Sponsor



    Gold Sponsors




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    Sponsoring Association Committees:

    Securities Litigation | Daniel H.R. Laguardia, Chair
    White Collar Crime | Karen Patton Seymour, Chair

     Sponsorship Opportunities are Available! Please Contact:

    Maricela Alfonso| Membership and CLE Relations Associate| (212) 382-6608 | MAlfonso@nycbar.org