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American Bar Association


Securities Litigation Committee


The Securities Litigation Committee, whose diverse membership includes attorneys from both the plaintiff and defense perspective, corporate counsel, and academicians, strives to be an invaluable resource to those practicing or interested in securities litigation, arbitration or regulatory enforcement matters.

Our website provides information on a variety of securities-related topics, including practical tools and discussion of the latest issues in the securities field. The Committee's quarterly publication, the Securities Litigation Journal, which includes articles on matters of new or continuing interest in the securities area authored by notable practitioners and academics, is distributed to the Committee's membership.

The Committee also publishes an annual survey of Broker Dealer Litigation which is made available to Committee members and at the annual Securities Industry Association Compliance and Legal Conference.

Our members can also benefit from educational programs sponsored by the Committee and presented through the ABA by live audio teleconference, regional CLE meetings across the country, and panel discussions at ABA conferences.

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Securities Litigation Committee Update: July 2016

Dear Committee Members:

As the ABA year draws to a close, we wanted to bring a few of items to your attention.

Leadership Appointments
Helen and Josh are happy to report that we have been reappointed as co-chairs of the Committee.  This will be the third and final year of our terms.  We are looking forward to another successful year.

We plan to revise our subcommittee assignments as we begin the new bar year in August.  If you are not currently involved in a subcommittee and would like to be, please email us directly or reach out to the current subcommittee chairs.  A list of subcommittees and the leaders of the same is available at the Committee’s website. If you are currently serving as a subcommittee chair, let us know if you would like to consider another assignment or be reappointed to the same.

ABA Annual Meeting
The ABA Annual Meeting is being held August 3-5 in beautiful San Francisco. If you have not already done so, register now. The Section of Litigation package, which includes all seven Section CLE events plus networking opportunities, is only $375. Our Committee will be active at the meeting including participating in the Committees s Dinner Dine-Arounds on Thursday. Email Helen for more information.

Securities Litigation Journal
We are currently seeking articles for the upcoming editions of the Journal.  Reach out to the Journal editors with any questions, ideas, or proposals.

2016–17 Planning
We are in the beginning stages of planning our programming for 2016–17.  The primary mission of our Committee is to generate benefits to our members and other practitioners. We do this in a number of ways from podcasts to the Journal to Regional meetings and more.  If you have any ideas for topics you would like to see addressed or just want to learn how you can get involved, please reach out to us directly.

Programs for the 2017 Section Annual Conference
The 2017 Section of Litigation Annual Conference will be in San Francisco, CA on May 2–5, 2017, at the Hyatt Regency. We hope you will make plans to attend.  If you have an idea for a program, let us know.  Proposals must be submitted no later than Monday, August 29, 2016We plan to submit multiple proposals of interest to our members and would to get your thoughts on the same. For the 2017 Section Annual Conference, Section leadership is asking for creative, engaging presentations—thinking outside the box of the traditional moderator/panelist format—with a heavy emphasis on practical skills, recent hot topics or trends in litigation, and programs geared toward young lawyers. The overall theme for the envisioned program tracks is the progression of litigation: from pre-suit demands, to initiation of litigation, motions practice, discovery, mediation/ADR, trial, and appeal.

U.S.-Canadian Securities LitigationNational Institute And before we move forward, we wanted to take a brief look back at the inaugural ABA National Institute on U.S.-Canadian Securities Litigation, which took place on May 18, 2016, in Toronto. The event was a huge success with more than 150 registered guests from all parts of the United States and Canada. The panelists included a “who’s who” of the U.S. and Canadian securities industry including Judge Jed Rakoff, Mary Condon of the Ontario Securities Commission, the Directors of Enforcement for the major capital markets regulators in the U.S. and Canada, and many, many more practitioners and key players in the securities litigation arena. Kudos to Usman Sheikh and Sarah Woods, cochairs of our Canadian Subcommittee, for their hard work on this inaugural event. Planning for next year is underway.

Thanks to everyone for their hard work this year.  We are looking forward to 2016–17.

Helen Kim and Josh Jones

Securities Litigation Committee Seeks Input on Resolutions

The Securities Litigation Committee is seeking input from its members regarding resolutions for potential submission to the ABA House of Delegates. The Section of Litigation is the voice of litigators in this country and is responding to our members' needs and concerns by working with the ABA Resource Committee to develop resolutions that result in ABA policy. These resolutions can and have made a difference in Congress and throughout the world. Examples of recent resolutions sponsored by the Section of Litigation and adopted by the House of Delegates include the adoption of a Model Act Governing the Representation of Children in Abuse, Neglect, and Dependency Proceedings to a Protocol on Court-to-Court Communications in Canada-U.S. Cross-Border Class Actions. If there is a topic of interest to you as a litigator, we would like to hear from you.

A great summary of the use, implementation, and impact of the House of Delegates’ resolutions is available at Report on Impact of House of Delegates’ Resolutions, Videos, and Archiving.

If you have an idea for a proposed resolution, an issue of interest to your practice, or a concern you would like to see addressed, please contact Helen Kim or Josh Jones.

Securities Litigation Committee Develops Ambitious Plan at the ABA Section of Litigation Fall Leadership Meeting

The ABA Section of Litigation recently held its Fall Leadership Meeting in Nashville. For lawyers who also identify as foodies, music buffs, or sports fans (or all of the above), it was a particularly exciting time to visit Nashville, as the city hosted its Music City Food + Wine Festival, the Americana Music Festival, and the South Carolina Gamecocks.

Despite these worthy distractions, Securities Litigation Committee cochairs Helen Kim and Josh Jones, along with other committee leaders, hammered out an ambitious plan for the benefits that the committee will deliver to its members through the summer of 2015. 

This year’s regional programs, Roundtables, and Sound Advice podcasts will provide practical tools and helpful insights on the latest issues in the securities field. 

Regional programs will be held in San Francisco in February and in New York City in March, June, and July. Topics slated for these programs include the applicability and effect of the Fifth Amendment privilege in the context of regulatory investigations/enforcement actions and parallel criminal proceedings, and the use of securities expert witnesses in class certification in the wake of Halliburton.  

Roundtable discussions offered in December, May, and July will address e-discovery for young lawyers, recent developments in FINRA arbitration, and insider trading.

Throughout the year, our Sound Advice podcasts will provide practical advice for securities litigators and will focus on witness preparation, ethical pitfalls for young lawyers, effective use of accounting experts, and recent legal developments in the securities arena. The committee will publish the Securities Litigation Journal on a quarterly basis and will also provide News & Developments on the committee's ABA webpage.  

Please contact Josh Jones (jdjones@bressler.com) or Helen Kim (hkim@thompsoncoburn.com) if you would like to contribute to the committee’s programs and publications.

Get Involved

Involvement in our committee is a great way to keep your practice up-to-date and get more involved in the Section of Litigation. In addition to seeking contributions to our newsletter and website, we are looking for help with our subcommittees. If you think you might be interested in contributing an article, news & development, or case note; joining a subcommittee; or getting involved in leadership, please let us know.

Securities Litigation Winter 2016 Newsletter

The latest edition of the Securities Litigation newsletter is now available.

Message from the Chairs

Welcome to the Securities Litigation Committee’s webpage.  We hope that you will visit regularly to find the latest information, news, and developments that affect your practice.

The Securities Litigation Committee is housed under the ABA’s 60,000-member Section of Litigation, the premier association for lawyers involved in litigation and trial practice. Joining the Securities Litigation Committee is free to all Section members, and we encourage you to do so if securities litigation is a part of your practice or if you have any interest in learning more about the subject. 

The benefits of becoming a member of the Committee are substantial.  The Committee’s paramount goal is to provide resources to those practicing or interested in securities litigation, arbitration or regulatory enforcement matters.  We do this by the following means:  (1) providing practitioners with a quarterly journal highlighting recent developments and providing insightful commentary and articles on significant issues and trends, (2) offering programming to members and non-members at the ABA Annual Meeting, the Section of Litigation Annual Conference, and stand-alone programs and regional conferences throughout the country, (3) creating and supporting Sound Advice podcasts and Committee Roundtables on matters of interest, (4) providing updates and breaking news via this webpage and our Committee listserv on emerging and developing topics, (5) creating and publishing topical books through the Section’s publishing arm, and (6) publishing an annual survey of broker dealer litigation.

Though becoming a member requires no commitment, the opportunities to become involved are significant for practitioners with any level of experience from junior associates to the most seasoned litigators.  In addition to subcommittees involved in managing the journal, the website, and publication of substantive books, the Securities Litigation Committee currently has nine active subcommittees covering the gamut of related substantive topics, from Accounting Issues to White Collar.  Involvement in both these subcommittees and Committee as a whole provide members with opportunities to publish and to participate in all of the programming described above.  The Committee is as strong as its membership is active, and we encourage anyone with an interest in contributing to step forward. 

In addition, membership in the Committee allows for attorneys to connect with others that share their focus. The opportunity to network with likeminded professionals from all over the United States through our bimonthly conference calls, the ABA Annual Meeting, the Section Annual Conference, the regional conferences, and participation in programming is unparalleled and one of the most significant benefits of membership.

We look forward to working with the current Committee leadership, all of the Committee’s members, and those that will be joining soon. Please do not hesitate to contact either of us should you have any suggestions, questions, or concerns.

Helen B. Kim
Joshua D. Jones
Cochairs, Securities Litigation Committee


Our active subcommittees include:

  • Accounting Issues
  • Book and Other Publications
  • Class Actions
  • Derivative Suits
  • M&A/Proxy Litigation
  • SEC Enforcement
  • Securities Arbitration


  • Securities Litigation Journal Editors
  • Self-Regulatory Organizations
  • Structured Financial Products, Mutual & Hedge Fund Litigation
  • White Collar & Corporate Investigations
  • Website and Social Media Editors

Find contact information for committee and subcommittee chairs:

Navigant Partners

Sumon Mazumdar

Oakland, CA

John Montgomery

New York City, NY


Securities Litigation Leadership

Cochairs Web Editors Journal Editors

Joshua D. Jones

Birmingham, AL

Helen B. Kim

Los Angeles, CA

Jonathan L. Frank

New York, NY

Patrick G. Rideout

New York, NY

Kathryn Dietrich Perreault

Birmingham, AL

Noah Katsell

San Diego, CA

Laura J. O'Rourke

Dallas, TX

Breton Leone-Quick

Boston, MA

Jessica Valenzuela Santamaria

Palo Alto, CA