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2013 Securities Litigation & Regulatory Conference -- Insights and Challenges for Financial Services Attorneys -- NOTE ON-LINE REGISTRATION CLOSED; AT DOOR REGISTRATION AVAILABLE

Thursday, November 21, 2013, 9:00 AM – 5:00 PM

Registration for this course is now closed.

Intended Audience:

Public Sector/non-profit register above as "Law Office Staff" for $35. Confirmation of status required; NJ State Bar members call 212-267=6646 ext 215, mail or fax to receive member discount

Click Here to download November orderform

Location: 2nd Floor Auditorium

Course ID: C11212013

Credits: 8 NJ Credits: 3 Ethics; 5 General
8 NY Credits: 3 Ethics; 1 Skills; 4 PP; transitional and non-transitional

Course Description:

Panel I: Regulatory & enforcement Priorities

Richard R. Best, FINRA's Department of Enforcement; Sarah Coyne, U.S. Attorney's
Office (EDNY); Amy Kopleton, New Jersey Bureau of Securities; David Rosenfeld, NY Regional Office, SEC;Steven Peikin, Sullivan & Cromwell; Robert Herskovits,
Herskovits Law PLLC(Moderator)

Panel 2: Exchanges, High Frequency Trading, Dark Pools

Matthew Levine, Knight Capital Americas LLC; Jason Gottlieb, Mallet-Prevost,
Colt & Mosle LLC;
Eliza Sporn Fromberg, Day Pitney; Colin Clark, NYSE Euronext

Panel 3: Litigation & Arbitration Hot Topics

Kenneth Crowley, UBS Financial Services Inc.; Jill M. Del Monico, Bank of America/
Merrill Lynch; Ron Ragin, Senior Litigation Counsel, Litigation Section, MetLife; Alejandro Schwed, Morgan Stanley Wealth Management;   John Kelly, McCarter & English (Moderator)

Panel 3A: Government Affairs, Regulatory/Litigation Developments Tied
to the Financial Crisis

Karen M. Elinski , TIAA-CREF  (Moderator); Ann M. Kappler, Prudential
Greg Kyle, Bates Group LLC and Bates Research; Eric R. Dinallo, Debevoise & Plimpton LLP

Panel 4: At What Cost? Fictional Drama focusing on Compliance, Regulatory and the Drive for Corporate Growth 

Gail Rodgers, John Vukelj, Kiera Gans, DLA Piper

Panel 5: Ethics-- Defending Wall Street and Main Street: The Revolving Door, and Lawyers as Whistleblowers

J. Richard Supple Jr., Hinshaw & Culbertson LLC; Barry Temkin
Mound Cotton Wollan & Greengrass; Michael Smallberg, Project On Government  Oversight (POGO; Michael Bobelian, Forbes (Moderator)

There will be a networking cocktail reception immediately following the program sponsored by Bates Group LLC and McCarter & English

Breakfast sponsored by Labaton Sucharow


Program Co-sponsor: NYCLA's Securities and Exchanges Committee and New Jersey State Bar Association Securities Litigation and Regulatory Enforcement Committee

Corporate Sponsors: Bates Group LLC, McCarter & English and Labaton Sucharow

 Program Chairs: Susan L. Harper, Bates Group, LLC andCo-Chair, Securities & Exchanges Committee with Robert Herskovits, Herskovits, PLLC and  John Kelly, Partner, McCarter & English, and Co-Chair of the  New Jersey State Bar Association's Securities Litigation and Regulatory Enforcement Committee  


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