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Programs & Materials


Current Issues in Securities Litigation, February 2015
Bar Association of San Francisco
301 Battery Street
San Francisco, CA 94111


Written Materials



Section Annual Conference, April 2015:Should Delaware Dictate Corporate Conduct? Effects of Recent Delaware Decisions on Everything from Third-Party Liability to Choice of Forum


This program examines the implications of recent Delaware decisions in merger litigation, focusing on third-party liability (such as bankers, private-equity firms, and activist shareholders), forum selection, and fee-shifting. The panel will explore these emerging trends by examining several Delaware cases (e.g., BMC Software [C.A. No. 8544-VCG], Gardner Denver [Consol. C.A. No. 8505-VCN], Rural Metro [Consol. C.A. 6350-VCL], Del Monte [Consol. C.A. 6027-VCL], Boilermakers [C.A. Nos. 7220-CS, 7238-CS], ATP Tour [No. 534, 2013],), discussing why these trends have emerged, and highlighting their implications for shareholder plaintiffs, officers and directors, thirdparty participants, corporate counsel, and securities litigators.


PowerPoint slides: Should Delaware Dictate Corporate Conduct? Effects of Recent Delaware Decisions on Everything from Third-Party Liability to Choice of Forum.




ABA SRO Subcommittee:  FINRA and Other Regulators' Expectations about Remediation, Before and After Settlement, May 15, 2013

  • »  Program Materials

    ABA Annual Meeting: August 3, 2012, Chicago, IL


    Section Annual Conference: April 2012, Washington, D.C.


    Compliance Officer Liability Panel: January 2012

    On January 18, 2012, the ABA Securities Litigation SRO Subcommittee hosted a panel discussion on compliance-officer liability, a subject of great interest for legal and compliance professionals at member firms. The presentation featured Susan Schroeder, FINRA’s deputy chief of enforcement, Gloria R. Greco, managing director and chief compliance officer for Merrill Lynch, Pierce, Fenner & Smith Inc., John Sturc of Gibson Dunn & Crutcher LLP, and was moderated by Ben A. Indek of Morgan, Lewis & Bockius LLP. Susan Merrill of Bingham McCutcheon sat in as a commentator with Andy Sidman and Anne Flannery, cochairs of the subcommittee along with David Boch. The program was available via audio-conferencing and more than 100 attendees participated in person or by telephone.


The panelists discussed the role of compliance officers from the in-house perspective, as well as the expectations of both securities and banking regulators. CLE materials that surveyed SEC and FINRA enforcement actions against compliance officers were distributed and are available here.



FINRA Discussion Panel: June 2011

On June 2, 2011, the ABA Securities Litigation SRO Subcommittee hosted a panel discussion on litigating disciplinary cases brought by FINRA. The panel included Andrew H. Perkins, Deputy Chief Hearing Officer of FINRA's Office of Hearing Officers, David R. Sonnenberg, Vice President & Head of Litigation of FINRA's Department of Enforcement, and Julian Friedman, of Stillman, Friedman & Schectman, P.C. The presentation was moderated by the SRO Subcommittees' chairs, Andrew Sidman of Bressler, Amery & Ross, Anne Flannery of Morgan Lewis, and David Boch of Bingham McCutchen. Paul Tyrrell of Bingham McCutchen helped organize the panel.


The panelists provided valuable insights and practice tips both for lawyers experienced in handling FINRA disciplinary proceedings and those new to the forum. Some of the highlights are summarized within.