6th Annual Securities Litigation & Enforcement Institute

Wednesday, March 14, 2018 | 9:00 am – 6:00 pm
Networking Luncheon and Reception Included



Program Co-Chairs:

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

Gregory A. Markel
Seyfarth Shaw LLP







Keynote Speaker:

Professor John C. Coffee
Columbia Law School







  • 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. The courts in which cases have been filed has shifted. The types of M&A cases that are being filed has also shifted. 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 are facing investigations by the PCAOB and SEC. 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.

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

  • Sasha Aganin
    Vice President
    Cornerstone Research

    Scott A. Barshay
    Paul, Weiss, Rifkind, Wharton & Garrison LLP

    Marc P. Berger
    Director, NY Regional Office
    US Securities and Exchange Commission

    James E. Brandt
    Latham & Watkins LLP

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

    Daniel Dewar

    Mark DiPaolo
    General Counsel
    Sarissa Capital Management LP

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

    Robert Giuffra
    Sullivan & Cromwell LLP

    Steven Haber
    Global Litigation Manager
    Bloomberg Legal

    Adele Hogan
    Former Director
    Deutsche Bank

    Michele Johnson
    Latham & Watkins LLP

    Joshua Klayman
    Morrison & Foerster LLP

    Daniel Laguardia
    Shearman & Sterling LLP

    Elaine Mandelbaum
    Managing Director and General Counsel
    Litigation and Regulatory Enforcement
    Citi Institutional Clients Group

    Gary P. Naftalis
    Kramer Levin Naftalis & Frankel LLP

    Elena Norman
    Young Conaway Stargatt & Taylor, LLP

    Maeve O’Connor
    Debevoise & Plimpton LLP

    Brian E. Pastuszenski
    Co-Chair, Securities Litigation Practice
    Goodwin Procter LLP

    William L. Prickett
    Seyfarth Shaw LLP

    Martin Seidel
    Willkie Farr & Gallagher LLP

    Andrew Stemmer
    Head of Litigation & Regulatory Enforcement – Americas
    Director & Associate General Counsel
    Deutsche Bank Legal Department

    Linda Chatman Thomsen
    Davis Polk & Wardwell LLP

    Jeroen Van Kwawegen
    Bernstein Litowitz Berger & Grossmann LLP

    Harry J. Weiss
    Wilmer Hale

    Lawrence J. Zweifach
    Gibson, Dunn & Crutcher LLP


    8:30 am – 9:00 am Registration & Continental Breakfast 
    9:00 am – 9:50 am Statistics on Securities Case Filings

    Sponsored by Bernstein Litowitz Berger & Grossmann LLP

    Moderator: Greg Markel

    Panelists: Sasha Aganin, Daniel LaGuardia, and Jeroen Van Kwawegen

    9:50 am – 11:10 am


    Recent Developments In Securities Class Actions

    Sponsored by Debevoise & Plimpton LLP

    Moderator: Greg Markel

    Panelists: James Brandt, Robert Giuffra, Brad S. Karp, Maeve O’Connor, Brian Pastuszenski

    11:10 am – 11:25 am Morning Coffee Break
    11:25 am – 11:55 pm Keynote Address

    Professor John C. Coffee, Jr.

    11:55 am – 12:45 pm Networking Luncheon
    12:45 pm – 1:50 pm An In-House Perspective on Managing Multiple Regulatory Investigations and Parallel, Private Securities Litigation

    Moderator: Gary P. Naftalis

    Panelists: David Futterman, Steven Haber, Elaine Mandelbaum, and Andrew Stemmer

    1:50 pm – 3:05 pm Critical Issues in Shareholder Activism and M&A Litigation

    Moderator: William Prickett

    Panelists:  Scott A. Barshay, Mark DiPaolo, Michele Johnson, Elena Norman, and Martin Seidel

    3:05 pm – 3:20 pm Afternoon Coffee Break
    3:20 pm – 4:10 pm How to Handle Regulatory Investigations

    Sponsored by Davis Polk and Wilmerhale

    Moderator: Lawrence J. Zweifach

    Panelists: Marc P. Berger, George S. Canellos, Linda Chatman Thomsen, Harry J. Weiss

    4:10 pm – 5:00 pm Blockchain, Bitcoin & Cryptocurrency: Regulation, Enforcement & Litigation

    Moderator: Adele Hogan

    Panelists: Daniel Dewar and Joshua Klayman

    5:00 pm – 6:00 pm Networking Reception

  • NY: 8.0 professional practice

    NJ: 8.0 general

    CA: 8.0 general

    PA: 6.5 general

  • Gold Sponsor:
    Latham & Watkins
    Silver Sponsors:

    Sponsoring Association Committees:

    Securities Litigation | Daniel H.R. Laguardia, Chair
    White Collar Crime | Michael S. Schachter, Chair

     Sponsorship Opportunities are Available! Please Contact:

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