Ninth Annual National Institute on Securities Fraud! - Shop ABA

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Ninth Annual National Institute on Securities Fraud! Reg is now ter an Sav d e!

Featuring Speakers From: Securities and Exchange Commission Department of Justice Commodity Futures Trading Commission FINRA Leading Private Practitioners

Platinum Sponsor:

Comprehensive Sponsor:

November 13-14, 2014 The Westin New Orleans Canal Place New Orleans, LA

Ninth Annual National Institute on Securities Fraud November 13–14, 2014 The Westin New Orleans Canal Place | New Orleans, LA

Visit www.shopaba.org/2014securities to register. Each year, this National Institute draws elite officials from both the U.S. Department of Justice and the U.S. Securities and Exchange Commission for an exclusive educational and professional forum to examine current legal and ethical issues relating to securities fraud.

Program highlights include: • Wall Street to the Hill: The Continuing Evolution of Insider Trading Investigations • FCPA Matters: Pushing the Envelope on Enforcement and Penalties • Bitcoin or Bit Player? SEC and State Regulators Weigh In

Register Now and Save! Best Value Early Bird

Advance Rates Effective 9/18/14 – 10/15/14

Standard Rates Effective 10/16/14

General Public

$1,190

$1,280

$1,365

ABA Members

$1,095

$1,175

$1,255

Criminal Justice Section Members

$995

$1,025

$1,095

Business Law Section Members

$995

$1,025

$1,095

Section of Litigation Members

$995

$1,025

$1,095

Government Employees

$475

$515

$550

We reserve the right to correct any errors in pricing.

Presented by Criminal Justice Section Business Law Section Section of Litigation

Fees do not include travel or lodging.

Silver Sponsor:

NERA Economic Consulting Freshfields Bruckhaus Deringer US LLP Bronze Sponsors:

KPMG LLP; Navigant

Earn up to 8.75 CLE Credits,

including 1.25 hours of ethics credit.

Not an ABA Member? Join Now! www.ambar.org/join

ABA CLE National Institutes bring you face to face with nationally recognized experts on substantive topics — often while fulfilling most of your annual CLE requirements.

Faculty Jodi L. Avergun Partner Cadwalader, Wickersham & Taft LLP Washington, DC

Joel M. Cohen Partner Gibson Dunn & Crutcher LLP New York, NY

John D. Griffith Associate General Counsel for Investigations Weatherford Washington, DC

Jonathan R. Barr* Partner Baker Hostetler LLP Washington, DC

Tim Coleman Partner Freshfields Bruckhaus Deringer LLP Washington, DC

Thomas A. Hanusik* Partner Crowell & Moring LLP Washington, DC

J. Bradley Bennett Partner Cadwalader, Wickersham & Taft LLP Washington, DC Bradley J. Bondi Partner Cadwalader, Wickersham & Taft Washington, DC Thomas G.A. Brown Senior Managing Director FTI Consulting, Inc. New York, NY Gregory S. Bruch Partner Bruch Hanna LLP Washington, DC Eric I. Bustillo Regional Director U.S. Securities and Exchange Commission Miami, FL Mark D. Cahn Partner WilmerHale Washington, DC John J. Carney Partner Baker Hostetler LLP New York, NY Pamela Chepiga Partner Allen & Overy LLP New York, NY J. Gilmore Childers Managing Director Associate General Counsel Goldman Sachs New York, NY

*Planning Committee

Colleen A. Conry Partner Ropes & Gray Washington, DC

Scott H. Kimpel Partner Hunton & Williams LLP Washington, DC

Douglas J. Davison Partner WilmerHale Washington, DC Michael S. Dry Assistant U.S. Attorney U.S. Attorney’s Office for the Eastern District of Virginia Richmond, VA Joseph A. Fonti Founding Partner Bleichmar Fonti Tountas & Auld LLP New York, NY Scott W. Friestad Associate Director and Special Assistant to the Director U.S. Securities & Exchange Commission Washington, DC Toby M. Galloway Partner Kelly Hart Fort Worth, TX Aitan Goelman Director Division of Enforcement Commodities Futures Trading Commission Washington, DC Robert P. Gray Partner ParenteBeard LLC Dallas, TX

Philip H. Hilder* Partner Hilder & Associates, P.C. Houston, TX

Jeffrey H. Knox Partner Simpson, Thacher & Bartlett Washington, DC Michael L. Koenig Partner Hinckley, Allen & Snyder Albany, NY James M. Koukios Principal Deputy Chief, Fraud Section U.S. Department of Justice Washington, DC John Lausch Partner Kirkland & Ellis LLP Chicago, IL James B. Letten Assistant Dean for Experiential Learning Tulane University School of Law New Orleans, LA Michael N. Levy Partner Paul Hastings, LLP Washington, DC Charles H. Lichtman Partner Berger Singerman LLP Miami, FL

Faculty subject to change without notice.

Faculty (Continued) Gary S. Lincenberg Principal Bird, Marella, Boxer, Wolpert, Nessim, Drooks & Lincenberg, P.C. Los Angeles, CA Alex Lipman Partner Nixon Peabody New York, NY

Pamela J. Parizek Partner KPMG LLP Washington, DC Paul E. Pelletier Member Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Washington, DC

Benjamin D. Singer Deputy Chief Securities Fraud, Securities Fraud Section, Criminal Division U.S. Department of Justice Washington, DC Richard Craig Smith Partner Norton Rose Fulbright Washington, DC

Andy Liu Partner Crowell & Moring LLP Washington, DC

Kenneth A. Polite, Jr. U.S. Attorney Eastern District of Louisiana New Orleans, LA

Neil MacBride Partner Davis Polk & Wardell LLP Washington, DC

Jane S. Raskin Partner Raskin & Raskin, P.A. Coral Gables, FL

Michael F. Maloney Chief Accountant Division of Enforcement U.S. Securities and Exchange Commission Washington, DC

David Reece Trial Counsel Enforcement Division U.S. Securities and Exchange Commission Fort Worth, TX

Craig Margolis Partner Vinson & Elkins Washington, DC

Greg J. Regan Partner Hemming Morse LLP San Francisco, CA

Linda Chatman Thomsen Partner Davis Polk Washington, DC

Nina Marino Partner Kaplan Marino Beverly Hills, CA

Frederick Reynolds Deputy Director FinCEN Washington, DC

Philip L. Urofsky Partner Shearman & Sterling LLP Washington, DC

William B. Mateja Principal Fish & Richardson, P.C. Dallas, TX

Mark E. Robinson Partner Bingham McCutchen LLP Boston, MA

Adrian Mebane Vice President Global Ethics & Compliance The Hershey Company Hershey, PA

Peter J. Romatowski Partner Jones Day Washington, DC

Al Vondra Partner PricewaterhouseCoopers LLP McLean, VA

Thomas M. Melsheimer Principal Fish & Richardson P.C. Dallas, TX Marshall L. Miller Acting Deputy Principal Assistant Attorney General and Chief of Staff U.S. Department of Justice Washington, DC Richard Morvillo Partner Morvillo LLP Washington, DC *Planning Committee

Joe Rotunda Director of Enforcement Texas State Securities Board Austin, TX

Thomas A. Sporkin Partner BuckleySandler LLP Washington, DC John Reed Stark Managing Director Stroz Friedberg Washington, DC William Stellmach Acting Chief, Fraud Section Criminal Division Washington, DC

Martin S. Wilczynski* Senior Managing Director Forensic Consulting FTI Consulting Washington, DC David K. Willingham Caldwell Leslie Los Angeles, CA

Russell G. Ryan Partner King & Spalding Washington, DC

Daniel L. Zelenko Partner Crowell & Moring LLP New York, NY

Cheryl J. Scarboro Partner Simpson Thatcher & Bartlett LLP Washington, DC

Sheldon T. Zenner Partner Katten Muchin Rosenman LLP Chicago, IL Faculty subject to change without notice.

Agenda Day 1: Thursday, November 13, 2014 8:00 a.m. – 8:45 a.m. | Registration 8:45 a.m. – 9:00 a.m. | Opening Remarks Kenneth A. Polite, Jr., U.S. Attorney, Eastern District of Louisiana

9:00 a.m. – 10:15 a.m. | Plenary Session: Year in Review Panelists: J. Bradley Bennett, Colleen A. Conry, Scott W. Friestad, Aitan Goelman, Marshall L. Miller Moderator: Thomas A. Hanusik High speed/frequency trading investigations, insider trading based on political intelligence and the STOCK Act on the Dark Web along with the age old “eating napkins” trick, the re-emergence of accounting fraud investigations and the case of the phantom CFO, enforcement actions related to non-disclosure of cyber security breaches and risks, law firms in the cross-hairs, both civilly and criminally and, of course, the continued focus on foreign bribery and FCPA enforcement. In sum, 2014 may be the year most known for the intersection of securities fraud, new technology, and the “same-old same-old” shenanigans. Meet the brass from SEC, DOJ, FINRA, and the CFTC, and learn from these insiders about priorities for 2015, as well as the successes and set-backs of 2014 in the area of securities fraud enforcement.

10:15 a.m. – 10:30 a.m. | Break 10:30 a.m. – 11:30 a.m. | Breakout Sessions I A. Corporate Resolutions: Deferred Prosecution Agreements (DPAs) and Non-Prosecution Agreements (NPAs): Are They as Good as They Sound? Panelists: Jeffrey H. Knox, John Lausch, Neil MacBride, Richard Craig Smith, William Stellmach Moderator: Gary S. Lincenberg When problems surface at the corporate level, corporations and their advisors often scramble to cooperate with regulators and the Department of Justice in a mad rush to secure an NPA or DPA. Later, some companies and their counsel suffer from a stiff case of buyer’s remorse. Hear from an expert panel including in-house counsel, seasoned defense attorneys, and regulators as to the advantages and disadvantages of the coveted NPA and DPA, as well as how to secure the favorable disposition that doesn’t come with the bitter aftertaste of buyer’s remorse.

B. FCPA Matters: Pushing the Envelope on Enforcement and Penalties Panelists: Scott W. Friestad, James M. Koukios, Pamela Parizek, Cheryl J. Scarboro, Philip L. Urofsky Moderator: Jonathan R. Barr FCPA investigations continue to provide a wide range of operational and financial perils for affected corporations. Particularly challenging is the inevitable endgame requiring careful navigation of the case facts through an acceptable resolution with the government. Is there a method to the madness? Our panelists will explore a variety of questions including how and why certain matters utilize DPA and NPA arrangements while others involve corporate pleas. Why do some require corporate, traditional, or hybrid monitors while others do not? And what is the process followed by the government for assessing penalties? Is there any actual connectivity whatsoever between the case facts and the ultimate penalties required for settlement? Hear the insights of the regulators and the defense bar as they analyze and explore the myriad factors and dynamics underlying the wide range of outcomes in this challenging area. 

11:30 a.m. – 11:45 a.m. | Break 11:45 a.m. – 12:45 p.m. | Breakout Sessions II A. Creative Discovery Tactics in Defending Securities Fraud Allegations Panelists: Jodi L. Avergun, Michael L. Koenig, Michael N. Levy, David K. Willingham Moderator: Sheldon T. Zenner The Rules of Civil Procedure provide a number of discovery methodologies such as requests for admissions, requests for production, interrogatories to parties, and Rule 30(b)(6) depositions. How can creative use of discovery be used to gain an advantage against the SEC in federal district court enforcement actions? With the SEC’s new cooperation initiatives, where the SEC bargains for certain witness cooperation, does the SEC have the equivalent of a Brady/Giglio obligation to defendants? Are cooperating witnesses paid in penal forbearance, subject to any additional discovery disclosures by the agency which bargains for their testimony? What role do FOIA requests play in obtaining information helpful to the defense. The panel will discuss creative discovery tactics in both criminal and civil securities fraud cases, including the use of Rule 30(b)(6) depositions of the SEC and FOIA requests. Agenda subject to change without notice.

Agenda (Continued) Day 1: Thursday, November 13, 2014 B. Experts on Offense, Experts on Defense Panelists: Joseph A. Fonti, Robert P. Gray, Charles H. Lichtman, Greg J. Regan Moderator: Thomas A. Hanusik Experts can make your case or break your case. Juries love them, and juries hate them. And they make appearances in almost every securities fraud trial. This interactive panel will address when it is best to use experts and when it is best not to use them. In addition, the panelists will both discuss and demonstrate the most effective ways to prepare for and conduct direct and cross-examinations of experts. With acclaimed experts for both the plaintiff and defense side providing sample direct examinations and subjecting themselves to cross-examination, this is sure to be a lively, fun, and informative discussion.

12:45 p.m.– 2:00 p.m. | Lunch Break 2:00 p.m. – 3:00 p.m. | Breakout Sessions III A. Bitcoin or Bit Player? SEC and State Regulators Weigh In Panelists: Bradley J. Bondi, Scott H. Kimpel, Frederick Reynolds, Joe Rotunda Moderator: Nina Marino Bitcoin along with other virtual currencies are beginning to develop in financial systems due to new technology. Their evolution may well transform the way business is conducted. The SEC and state security regulators have taken note. The panel will discuss recent developments by the SEC and state regulators in dealing with virtual currencies.

B. Compliance Chiefs: The Role of the Internal Watchdog Panelists: John D. Griffith, Adrian Mebane, Paul E. Pelletier, Daniel L. Zelenko Moderator: Richard Morvillo In today’s world of aggressive enforcement, draconian penalties, and corporate monitors, the role of compliance chief has assumed greater importance and been the focus of higher expectations by regulators. Hear experts from industry, the government, and the defense bar discuss the challenges and expectations confronting today’s internal watch dogs and evolving best practices for the role.

3:00 p.m. – 3:15 p.m.

| Break

3:15 p.m. – 4:15 p.m. | Breakout Sessions IV A. Internal Investigations—Privileged or Not? Panelist: Tim Coleman, Andy Liu, Mark E. Robinson, Al Vondra Moderator: Craig Margolis The Barko decision in the D.C. Circuit has the potential to greatly alter the mechanics of internal investigations. The decision may change whether certain investigations are even privileged. How does one conduct an internal investigation to ensure the results are privileged? How does one “thread the needle” in communicating the results of an internal investigation and cooperating with authorities, including the SEC, without waiving privilege as to third parties, including private plaintiffs? How do regulatory and securities disclosure requirements impact internal investigation practice and privilege determinations? This panel will discuss the Barko decision, addressing these questions and others relating to “best practices” in conducting internal investigations.

B. Cybersecurity and Disclosure Obligations Panelists: Thomas G.A. Brown, Eric I. Bustillo, Michael S. Dry, Thomas A. Sporkin Moderator: John Reed Stark Cybersecurity breaches used to be exceptions but are now an alarming and disruptive regular event for too many reporting companies. Cybersecurity breaches create a multitude of problems including reputational damage, revenue loss, operational compromise, litigation risk, and plenty of attention from regulators. Our panel of distinguished experts will discuss best practices to avoid being hacked, but will also cover how to best control damage when a cyber breach occurs, including who to involve, when to disclose, and how to investigate, operate during, and recover from this type of business nightmare.

4:15 p.m. – 4:30 p.m.

| Break

Agenda subject to change without notice.

Agenda (Continued) Day 1: Thursday, November 13, 2014 4:30 p.m. – 5:30 p.m. | Breakout Sessions V A. SEC Administrative Proceedings: Why Does the SEC Insist on Home-Court Advantage While Disadvantaging Defendants on Discovery? Panelists: Gregory S. Bruch, Douglas J. Davison, Alex Lipman, David Reece Moderator: Russell G. Ryan Dodd-Frank conferred on the SEC broad authority to impose civil monetary penalties in administrative proceedings. SEC officials promise that the Commission will bring cases traditionally reserved for U.S. District Court in administrative proceedings before SEC administrative law judges. Defendants in administrative proceedings face significant disadvantages compared to federal district court actions: (1) rules mandate completion of the proceeding within 300 days; (2) discovery through depositions and subpoenas is not available; (3) there is no right to a Jury Trial; and (4) the ALJ’s decision is initially appealable to the Commission that authorized the action in the first place rather than a circuit court. The SEC claims gains in efficiency justify complex cases being heard in administrative proceedings. Hear seasoned professionals from the SEC and private bar provide key insights into litigating cases in the administrative arena and tips on how defendants can even the playing field.

B. Financial and Accounting Fraud: Books and Records Violations and Beyond Panelists:John J. Carney, Michael F. Maloney, Peter J. Romatowski, Linda Chatman Thomsen Moderator: Martin Wilczynski By establishing the Financial Reporting and Audit Task Force, committing resources, and restructuring its enforcement accounting staff to police accounting, disclosure, and auditing violations, the SEC has identified financial fraud as an area worthy of a reinvigorated focus. Is the initiative working? What are the implications for registrants, management, and audit committees responsible for financial reporting? Our panel of experienced experts will explore the current landscape of SEC activity in this area including sensitive accounting areas, charging trends, litigation initiatives, and best practices for avoiding protracted financial investigations.

5:30 p.m. | Reception

Sponsored by: Crowell & Moring LLP, Hilder & Associates, P.C., and ParenteBeard LLC

Day 2: Friday, November 14, 2014 9:00 a.m. | Registration 9:45 a.m. – 11:00 a.m. | Plenary Session # 1 A. Wall Street to the Hill: The Continuing Evolution of Insider Trading Investigations Panelists: Pamela Chepiga, J. Gilmore Childers, Joel M. Cohen, Benjamin D. Singer, Thomas M. Melsheimer Moderator: Philip H. Hilder Wiretaps, informants, the mosaic theory, and even political intelligence are all terms now associated with insider trading cases. The risks of being too successful and bearing the burden of proving that you did not trade on the basis of material nonpublic information increases every day. And the definition of “nonpublic” has become all too vague in the age of social media, porous corporate walls, and a political environment that thrives on leaks. Explore these issues, the latest cases and legislation, including SEC plans to bring in-house administrative proceedings and the recently enacted STOCK Act (Stop Trading on Congressional Knowledge), and the House office of General Counsel’s Constitutional arguments rebutting the SEC’s overreach.

11:00 a.m. – 11:15 a.m. | Break 11:15 a.m. – 12:30 p.m. | Plenary Session #2 Sez who? SEC Targeting Attorneys Who Allegedly Obstruct Enforcement Investigations

Eth i Cre cs dit

Panelists: Mark D. Cahn, Toby M. Galloway James B. Letten, Jane S. Raskin Moderator: William B. Mateja The SEC and CFTC are targeting attorneys who, in their estimation, obstruct enforcement investigations. An SEC rule prohibits attorneys from practicing or appearing before the SEC for a variety of “bad acts” along with “unethical or improper conduct” or other conduct that is “lacking in character or integrity.” Conduct under scrutiny involves obstructive or dilatory acts with respect to document production, improperly coaching of witnesses, conflicts of interest, and lawyers responsible for drafting confidentiality agreements that silence employees with respect to fraud information. The panel will discuss how far the envelope can or should be pushed and if agency action is unwarranted if the activity does not amount to misconduct under ABA Model Rule 8.4.

12:30 p.m. | Adjourn Agenda subject to change without notice.

Register:

Visit www.shopaba.org/2014securities

Call (800) 285-2221

Step 1: Registration Rates Best Value Early Bird

Advance Rates Effective 9/18/14 – 10/15/14

Standard Rates Effective 10/16/14

General Public

$1,190

$1,280

$1,365

ABA Members

$1,095

$1,175

$1,255

Criminal Justice Section Members

$995

$1,025

$1,095

Business Law Section Members

$995

$1,025

$1,095

Section of Litigation Members

$995

$1,025

$1,095

Government Employees

$475

$515

$550

We reserve the right to correct any errors in pricing.

Fees do not include travel or lodging.

q I qualify for a $50/person group discount. Enter your $50 discount on line 2B. To qualify for a group discount, three or more people must register together. Please call us to register your group or send all registrations in the same envelope. Not applicable to government rates.

Step 2: Securities Fraud Workshops Please check one workshop for each period. Thursday § November 13, 2014 § 10:30 a.m. – 11:30 a.m. § Breakout Sessions I q A. Corporate Resolutions: Deferred Prosecution Agreements (DPAs) and Non-Prosecution Agreements (NPAs): Are They as Good as They Sound? q B. FCPA Matters: Pushing the Envelope on Enforcement and Penalties Thursday § November 13, 2014 § 11:45 a.m. – 12:45 p.m. § Breakout Sessions II q A. Creative Discovery Tactics in Defending Securities Fraud Allegations q B. Experts on Offense, Experts on Defense Thursday § November 13, 2014 – 2:00 p.m. – 3:00 p.m. § Breakout Sessions III q A. Bitcoin or Bit Player? SEC and State Regulators Weigh In q B. Compliance Chiefs: The Role of the Internal Watchdog Thursday § November 13, 2014 § 3:15 p.m. – 4:15 p.m. § Breakout Sessions IV q A. Internal Investigations—Privileged or Not? q B. Cybersecurity and Disclosure Obligations Thursday § November 13, 2014 § 4:30 p.m. – 5:30 p.m. § Breakout Sessions V q A. SEC Administrative Proceedings: Why Does the SEC Insist on Home-Court Advantage While Disadvantaging Defendants on Discovery? q B. Financial and Accounting Fraud: Books and Records Violations and Beyond

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