(Webcast) Securities Litigation & Enforcement Institute 2023

Wednesday, February 8, 2023 | 9:00 am – 5:00 pm

Keynote Speaker: Program Co-Chair: Program Co-Chair:

Loretta E. Lynch
Paul Weiss, Former US Attorney General

Greg Markel
Seyfarth Shaw LLP

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

  • This institute will consist of a number of panels covering important and interesting areas related to developments in securities litigation, derivative litigation, Delaware Law, ESG and importantly the activities of the SEC.  The SEC has been extremely active in 2022 and we expect even more activity in 2023 on issues like climate change, the environment, diversity, SPACs, crypto and ESG.  The challenges in each of those areas are significant and the SEC has indicated, it will be active in the regulation of those areas and the required disclosures relating to them.  We expect the very active role played by Gary Gensler in leading the SEC will continue and will come up during several panels.

    We are honored to announce that our keynote speaker will be former United States Attorney General and current Paul Weiss partner, Loretta Lynch, who will discuss the risks to the Rule of Law in today’s environment.

    In addition, we will feature the following panels of outstanding speakers on topics that are essential for practitioners to stay up to date on:

    • George Canellos, a former Co-Director of the SEC’s Division of Enforcement and Head of Enforcement in the SEC’s New York Office and now litigation and regulation leader at Milbank Tweed, will moderate a panel of leading practitioners, including Stephanie Avakian, until recently the Co-Head of Enforcement at the SEC and James Mangan, Head of Litigation at Morgan Stanley, David Meister, Skadden, on what the SEC has done in 2022 and is likely to be focused on in 2023.
    • Greg Markel and Brad Karp will moderate the traditional securities litigation panel which will address the recent Rio Tinto 2nd circuit decision on scheme liability, the Slack case from the 9th circuit and several other important recent cases, as well as a discussion on the latest trends in the number of securities cases filed and the likely reason for changes in filing levels. Panelists will include Audra Soloway of Paul Weiss and Lauren Ormsbee of Bernstein Litowitz, Co-Chairs of the Securities Litigation Committee of the City Bar, Jeff Scott of Sullivan & Cromwell, Mary Eaton of Freshfields and other leading securities litigators. As part of this panel Sasha Aganin of Cornerstone Research and Kevin LaCroix, the well-known editor and author of the D&O Diary, will discuss trends in securities filings and where the most action will be in 2023.
    • An impressive roster on Delaware Law moderated by John DiTomo of the Morris Nichols firm, featuring Vice Chancellor Travis LasterMaeve O’Conner of Debevoise, William Savitt of Wachtell and Jeff Gorris of Friedlander & Gorris (Jeff typically represents plaintiffs), will discuss the current extent of directors’ oversight duties, the Marchand case, M&A litigation, SPACs and the Multiplan case among other important topics.
    • Greg Markel will moderate a panel on ESG and many issues relating to it, including its growth in influence, various positive developments in fighting for sustainability, but also push back from some quarters of the economy on the appropriate role for ESG. The panel will include nationally recognized expert on legal ESG, Giovanna Ferrari of Seyfarth Shaw, Hille Sheppard of Sidley, Jessica Strine, the founder and CEO of Sustainable Governance Partners with a strong understanding of the role and motivation of financial firms, and other leading attorneys with great ESG expertise.
    • An expert panel moderated by Sharon Nelles of Sullivan & Cromwell will discuss progress in diversity in the legal profession including both what has been accomplished and what is still well short of the ideal. Among the panelists will be Akinyemi Akiwowo, Executive Director, Litigation and Regulatory EnforcementMorgan Stanley, Katherine Forrest, Paul Weiss, and Joanna Wade, Associate General Counsel and Senior Vice President of Bank of America. The panel will focus on a variety of diversity issues, including diversity in senior administrative roles in law firms and the influence legal departments are having on the staffing of litigation by outside law firms including in the context of securities cases.
    • Andrew Stemmer, who is Deutsche Bank’s Head of Litigation & Regulatory Enforcement for the Americas and Director and Associate General Counsel, will moderate a panel of very senior in-house counsel including Jaclyn Barnao, Head of U.S. Litigation and Investigations at Credit Suisse; Diana Miller, Managing Director and Head of Regulatory Investigations & Enforcement for ICG North America at Citi Bank, Christopher Williams, Vice President and Assistant General Counsel at Fidelity Investments and Dan Hunter, Head of Communications Counseling for FTI.

    This full-day program will provide a comprehensive overview of recent trends, developments and cutting-edge issues in securities litigation, Delaware Law, SEC regulation and enforcement and ESG.  The panels will include prominent securities litigators, senior in-house counsel at major financial institutions and corporations, and nationally recognized trial lawyers and former SEC and others with government as a regulator experience.

    Program Fee:
    $449 For Members | $649 For Nonmembers
    In-House Counsel: $299 Member | $499 Nonmember
    Gov/NP/AC/Judiciary: $249 Member | $349 Nonmember

  • Alexander “Sasha” Aganin
    Senior Vice President, Cornerstone Research

    Stephanie Avakian
    Wilmer Hale, Former SEC Co-Head of Enforcement

    Jaclyn Barnao
    Managing Director, Head of US Litigation and Investigations, Credit Suisse

    George S. Canellos
    Milbank, Former Co-Director, SEC Enforcement Division

    John DiTomo
    Morris, Nichols, Arsht & Tunnell LLP

    Mary Eaton
    Freshfields Bruckhaus Deringer

    Giovanna Ferrari
    Seyfarth Shaw LLP

    Katherine Forrest
    Paul Weiss

    Jeff Gorris
    Friedlander & Gorris, PA

    Dan Hunter
    Senior Managing Director, FTI Consulting

    Kevin LaCroix
    Author, The D&O Diary

    Vice Chancellor J. Travis Laster
    Delaware Court of Chancery

    James Mangan
    Managing Director and Global Head of Litigation, Morgan Stanley

    David Meister
    Partner, Government Enforcement and White Collar Crime, Skadden

    Diana Miller
    Managing Director and Head of Regulatory Investigations & Enforcement for ICG North America at Citi

    Sharon L. Nelles
    Sullivan & Cromwell

    Maeve O’Connor
    Debevoise & Plimpton LLP

    Lauren A. Ormsbee
    Bernstein Litowitz Berger & Grossmann LLP

    William Savitt
    Wachtell Lipton Rosen & Katz

    Jeffrey T. Scott
    Sullivan & Cromwell LLP

    Hille R. Sheppard

    Kamil Shields
    Sullivan & Cromwell LLP

    Audra Soloway
    Paul | Weiss

    Andrew Stemmer
    Head of Litigation & Regulatory Enforcement for the Americas, Director and Associate General Counsel, Deutsche Bank

    Jessica Strine
    Managing Partner and CEO, Sustainable Governance Partners

    Joanna Wade
    Associate General Counsel and Senior Vice President, Bank of America

    Christopher Williams
    Vice President, Associate General Counsel
    Fidelity Investments

  • 9:00 am – 9:10 am

    9:10 am – 9:40 am
    Keynote Speaker
    Loretta E. Lynch

    9:40 am – 9:45 am

    9:45 am – 10:45 am
    Important Issues in Current Delaware Litigation
    Moderator: John DiTomo
    Panelists: Jeff Gorris,  Vice Chancellor Travis Laster, Maeve O’Connor, William Savitt

    10:45 am – 10:50 am

    10:50 am – 11:50 am
    2022:  A Busy Year at the SEC and What is Coming in 2023
    Moderator: George Canellos
    Panelists: Stephanie Avakian, James Mangan, David Meister 

    11:50 am – 12:20 pm

    12:20 pm – 12:55 pm
    Securities Litigation Trends
    Moderator: Greg Markel and Brad Karp
    Panelists: Sasha Aganin, Kevin LaCroix

    12:55 pm – 1:55 pm
    Securities Litigation
    Moderator: Greg Markel and Brad Karp
    Panelists: Mary Eaton, Lauren Ormsbee, Jeffrey T. Scott, Audra Soloway 

    1:55 pm – 2:00 pm

    2:00 pm – 2:50 pm
    ESG Challenges:  ESG as a Movement
    Moderator: Greg Markel
    Panelists: Giovanna Ferrari, Hille Sheppard, Jessica Strine 

    2:50 pm – 2:55 pm

    2:55 pm – 3:55 pm
    Diversity in Legal Departments and Influence on Outside Counsel Selections
    Moderator: Sharon L. Nelles
    Panelist: Kamil Shields, Katherine ForrestJoanna Wade 

    3:55 pm – 4:00 pm

    4:00 pm – 5:00 pm
    Best Practices When Managing an Incident: Experienced senior counsel and other advisors discuss balancing litigation, regulatory, press and other issues while advising financial institutions
    Moderator: Andrew Stemmer
    Panelists: Jaclyn Barnao, Dan Hunter, Diana Miller, Christopher Williams

  • CLE Credit:New York: 6.5 Professional Practice, 1.0 Diversity & Inclusion New Jersey: 6.5 General; 1.0 Diversity & Inclusion California: 6.5 General; 1.0 Diversity & Inclusion Pennsylvania: 5.0 General; 1.0 Diversity & Inclusion

  • Thank You To Our Sponsors:

    Platinum Sponsor:

    Gold Sponsor:

    Silver Sponsors:

    Sponsoring Association Committees:
    Securities Litigation, Lauren Amy Ormsbee & Audra J. Soloway, Co-Chairs
    Securities Regulation, Rodney Miller, Chair
    White Collar Crime, Jenna Dabbs, Chair

    Sponsorship Opportunities are Available! Please Contact:
    Yelena Balashchenko, Manager, Business Development & Sponsorships | (212) 382-6608 | ybalashchenko@nycbar.org