On-Demand Video
CC

Federal Securities Law Forum 2022 Full Course


  • City:
  • Start Date:2022-07-14 20:00:00
  • End Date:2026-07-14 20:00:00
  • Length:
  • Level:Intermediate
  • Topics:Securities

$299.00 ["ProPass"]

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Overview

A unique, six hour conference bringing together judges, securities attorneys, in-house counsel and other top professionals in the field to examine today’s critical issues in-depth.

Be a part of an engaging and candid discussion examining today’s pressing issues, and learn practical approaches for dealing with the challenges facing your clients.

Explore the Intricacies of federal securities law.
Drawing on extensive knowledge, experience, and expertise in the securities industry, leading securities and corporate counsel explore the top developments in the securities transactional, litigation, and enforcement fields.  

Two practice areas converge – Register for one or both

  • Transactional practices and trends
  • Litigation caselaw update and strategies
    • Ethics credit available in the litigation update

Industry focused and practice oriented

  • Hot topics, new developments, influential decisions, successful strategies
  • Experienced Federal Securities practitioners
  • Current corporate governance issues

The success of your practice depends upon your ability to stay abreast of the many changes shaping this industry and understand how they will impact your clients. 

All attendees will receive the course book as a digital download. A printed copy of the course book is available, at a discount to attendees, for $40. Additional copies are available at full price. If you wish to purchase the printed version of the course book, please call PBI Customer Service at 800-932-4637. Please allow up to two weeks after the program for the printed versions of the course book to be shipped.

Recorded in July 2022.

Faculty

Alexandra Higgins

Alexandra Higgins is
a Managing Director at Okapi Partners providing strategic counsel to
corporate clients and their advisors with a focus on governance and
compensation issues, as well as other ESG concepts. Alex has over 15 years of
experience in corporate advisory and governance roles. Prior to joining Okapi
Partners, she served as VP and Head of U.S. Partner Advisory Services at
Institutional Shareholder Services Inc. (ISS) Corporate Solutions, where she
managed advisory services for U.S. professional services firms on ISS policy,
corporate governance issues, equity plan disclosure, and shareholder
activism. Alex also spent time as a reporter for CQ Roll Call, where she
covered corporate governance regulation and activist investor campaigns. She
began her career as an executive compensation analyst and research associate
at The Corporate Library for six years before its merger with GMI Ratings,
where she ultimately spent another four years advising law firms on corporate
governance matters related to securities litigation. In 2008, Alex was named
a Rising Star of Corporate Governance by the Millstein Center for Corporate
Governance and Performance. She holds a B.A. in Political Science from the
University of Southern Maine.

Gerald Guarcini Esq.

Mr. Guarcini is a partner in the Business and Transactions Department of Ballard Spahr LLP in Philadelphia. He serves as Co-Practice Leader of the firm’s Securities and Capital Markets Group. Mr. Guarcini specializes in the area of securities regulation and transactions, including public offerings and private placements, private equity and venture capital transactions, public company reporting and corporate governance counseling, as well as mergers, acquisitions and dispositions, and general corporate representation. He has co-authored numerous articles relating to securities and corporate law matters and speaks on securities law topics. Mr. Guarcini received his B.S. in Economics from the Wharton School of the University of Pennsylvania in and his J.D., cum laude, from Villanova University School of Law, where he was a member of the Villanova Law Review and the Order of the Coif. 

Ian Hartman Esq.

Mr. Hartman is a partner at Dechert LLP, Philadelphia. His practice includes corporate, securities, private equity, mergers and acquisitions, dispositions, public and private offerings of debt and equity securities, bank financings, venture capital investments, proxy contests, Special Committee representations and advising publicly traded companies on federal securities law, corporate governance, and Pennsylvania corporate law matters. Examples of significant transactions that Mr. Hartman has handled in recent years include: Whole Foods Market, Inc. in the $425 million equity investment by Leonard Green & Partners; Arrow International, Inc. in its $2 billion merger with Teleflex Incorporated and the proxy contest to elect directors to the Arrow board; Crown Holdings, Inc., in numerous domestic and international transactions, including its $2.4 billion refinancing, which included collateral sharing and intercompany arrangements to accommodate the complex international nature of Crown’s assets, and the $750 million sale of Crown’s plastic closures business to Paris-based PAI partners, which involved 29 plants in 15 countries; Great-West Lifeco Inc., an affiliate of the Power Corporation of Canada, in its $3.9 billion acquisition of Putnam Investments from Marsh & McLennan Companies, Inc.; Lincoln Financial Corporation in the management buy-out of Delaware International Advisors Ltd., a U.K. based investment adviser, to an affiliate of private equity firm Hellman & Friedman; Berwind Group in its acquisition of Elmer’s Products, Inc., the manufacturer of Elmer’s Glue, from an affiliate of Kohlberg Kravis Roberts & Co.; Trian Fund Management, L.P., in connection with Pennsylvania law aspects of its proxy contest to elect directors to the board at HJ Heinz Company; Constar International Inc. in its $550 million initial public offering and concurrent debt placement; Aga Foodservice Group in several acquisitions, including the Amana Commercial Microware business from Maytag and Whirlpool and Liberty Associated Partners, L.P. in venture capital investments including current Communications Group and XOS Technologies, Inc.

Joshua D’Ancona Esq.

Joshua is a partner at Kessler Topaz Meltzer & Check LLP, where he concentrates his practice in the area of complex securities litigation.  He has litigated securities fraud class actions in federal courts around the country, as well as direct securities claims on behalf clients in both federal court and before the American Arbitration Association.  Litigations Joshua has helped to resolve include:  In re Bank of America Securities Litigation (S.D.N.Y) (resolved for $2.425 billion); In re Pfizer, Inc. Securities Litigation (S.D.N.Y.) (resolved for $486 million); In re Allergan, Inc. Proxy Violation Securities Litigation (C.D. Cal) (resolved for $290 million); In re Satyam Securities Litigation (S.D.N.Y.) (resolved for $150 million); Transatlantic Holdings, Inc. v. AIG (American Arbitration Association) (resolved for $75 million); Baker v. SeaWorld (S.D. Cal.) (resolved for $65 million); Forsta-A.P. Fonden v. St. Jude Medical, Inc. (D. Minn.) (resolved for $39.25 million).  Prior to his litigation career, Joshua served as a law clerk to Judge Cynthia M. Rufe of the Eastern District of Pennsylvania.  Joshua received his B.A. with Honors from Wesleyan University in Middletown, Connecticut, and his J.D. from Temple University Law School, magna cum laude. 

Julia Green

Julia Green is an Assistant Director in the Division of Enforcement’s Market Abuse Unit in the Philadelphia Regional Office of the U.S. Securities and Exchange Commission.  Ms. Green supervises a variety of investigations into potential violations of the federal securities laws, including cases concerning insider trading, market manipulation, offering fraud, and other misconduct.  Previously, she served as a Senior Trial Counsel, representing the Commission and the Division in civil enforcement actions and administrative proceedings.   Prior to joining the Commission, Ms. Green worked in New York at Lankler Siffert & Wohl LLP and Ropes & Gray LLP.  Ms. Green clerked for the Honorable Jed S. Rakoff of the Southern District of New York and the Honorable Robert A. Katzmann of the U.S. Court of Appeals for the Second Circuit.  Ms. Green was also the recipient of a one-year fellowship sponsored by the National Center on Philanthropy and the Law.  She received her J.D. magna cum laude from Harvard Law School and her B.A. magna cum laude from Yale University.  

Justin Chairman Esq.

Justin W. Chairman, head of the firm’s capital markets & public companies practice, counsels both public and private companies on issues that arise in capital raising, mergers and acquisitions (M&A), securities compliance and corporate governance activities, as well as contract, finance, securities, and general corporate matters. Justin specializes in working with real estate investment trusts (REITs), and also represents clients in various other industries, including the life sciences, technology, media, staffing, consulting, and other industries. Justin advises public companies and their boards on strategies for making a company less vulnerable to activist shareholders, shareholder engagement, investor communications, corporate governance issues, board composition enhancement, and other board advisory matters. He has experience representing public companies domiciled in a variety of jurisdictions and across a broad array of industries in connection with shareholder activism defense, takeover defense, and related board advisory matters. Justin is a member of the Board of Directors of the Philadelphia chapter of the National Association of Corporate Directors, and often speaks at client and industry events on topics such as security industry trends and US Securities and Exchange Commission (SEC) initiatives.

Justin Klein Esq.

Justin Klein is Senior Counsel with Ballard Spahr. As a respected corporate counselor in the areas of securities and corporate governance, he advises publicly and privately held companies on diverse securities matters, including day-to-day corporate governance and other transactional matters. His practice also encompasses representation of other firms in the securities industry, including investment advisers, banks, and investment companies. Justin has significant experience representing both issuers and underwriters in public and private offerings of common stock and debt securities. He frequently provides public companies and their boards and independent committees with both regulatory and strategic advice in merger and acquisition transactions, including going-private transactions. He also represents boards of directors and committees of public and private companies, as well as municipal issuers, in special investigations and parties in regulatory and enforcement proceedings before the SEC, state securities commissions, and securities industry self-regulatory organizations. Justin has served as a court-appointed trustee in SEC enforcement matters. Before entering private practice, he spent nine years at the Securities and Exchange Commission, including as assistant director of the Division of Corporation Finance. In September 2021, Justin was appointed Director of The Weinberg Center for Corporate Governance at the University of Delaware. The Center is one of the oldest corporate governance centers in academia. The mission of the Center is to provide a neutral forum for the discussion of important corporate governance issues. He is recognized in Chambers USA: America’s Leading Lawyers for Business as a leader in the fields of corporate/M&A and private equity law and securities law in the 2003 through 2022 editions. The 2006 through 2022 editions of The Best Lawyers in America list Mr. Klein for corporate law, mergers and acquisitions law, and securities law/capital markets law. He was named one of the Philadelphia Business Journal’s 2014 Outstanding Board Directors for his service on the Board of Directors of The Mann Center for the Performing Arts, where he has been a member of the board since 2000 and served as Board Chair from 2005 to 2014. He was named “Highly Regarded—Pennsylvania” by IFLR 1000 for M&A, 2018-2021. Mr. Klein is a graduate of George Washington University Law School (J.D., with honors, 1972) and the University of Pennsylvania (B.A. 1969).He is admitted to practice in Pennsylvania, the District of Columbia, and Maryland.

Kimberly Huebner

Kimberly Huebner is the Vice President of Technical Claims in AIG Claims’ Public Company Directors & Officers Liability Claims Group based in New York, NY.  Kimberly is a highly technically skilled adjuster in the D&O space, especially with respect to the most complex and high severity claims, including claims such as Securities Class Actions and in emerging areas like Special Purpose Acquisition Companies (SPACs). Kimberly started her career at AIG Claims in 2007 with the Employment Practices Liability Claims Group.  Prior to joining AIG Claims, Kimberly was a partner in a small boutique law firm for over four years.  She obtained a Juris Doctorate from New York Law School and graduated with a Bachelor of Science degree in Psychology from Roanoke College.  

Stephen Miller Esq.

Stephen A. Miller is the co-chair of our White Collar Defense & Investigations practice group at Cozen O’Connor in Philadelphia. He works with clients to conduct internal investigations, implement compliance solutions, and navigate government investigations. Stephen has particular experience in the areas of international anti-corruption laws, export controls, the False Claims Act, and matters relating to sports and gaming regulation. Following two judicial clerkships, including one on the Supreme Court of the United States, Stephen served nine years as a federal prosecutor in the U.S. Attorneys’ Offices in the Southern District of New York and the Eastern District of Pennsylvania. He handled wide-ranging international investigations as a prosecutor, conducting and supervising innovative investigations of violations of the Foreign Corrupt Practices Act (FCPA) and federal export regulations.  Among other successes, Stephen investigated and prosecuted individuals who exported sensitive technology to Iran in violation of export controls, uncovered and prosecuted widespread fraud in the United Nations Oil-for-Food Program, and thwarted efforts by Hezbollah to obtain thousands of heat-seeking missiles and machine guns from sources inside the United States. In addition to his unique investigative and trial experience, Stephen has briefed and argued appeals before the U.S. Courts of Appeals for the 2nd, 3rd, 7th, and Federal Circuits, and has also briefed matters in multiple state Supreme Courts and the Supreme Court of the United States. He is a graduate of Northwestern University School of Law, J.D., summa cum laude, and Princeton University, A.B., summa cum laude. He is admitted to practice in Pennsylvania, New Jersey and Illinois. Stephen has been recognized in Best Lawyers in America – Criminal Defense: White Collar (2022); Philadelphia Business Journal’s 2021 Best of The Bar – White Collar Criminal Defense; Chambers USA (Litigation: White-Collar Crime & Government Investigations – PA) (2022, 2021); Chambers & Partners USA – Pennsylvania, Litigation: White-Collar Crime & Criminal Investigations – Recognized Practitioner (2018); and has received the U.S. Attorney General’s Distinguished Service Award (2008).

Wendy Beetlestone

Judge Beetlestone is a Judge in the United States District Court of the Eastern District of Pennsylvania. Judge Beetlestone was nominated to the bench on June 16, 2014, was confirmed by unanimous voice vote by the United States Senate on November 20, 2014, and received her judicial commission on November 21, 2014. Prior to taking the bench, Judge Beetlestone was a shareholder at the law firm of Hangley Aronchick Segal Pudlin & Schiller where she was a trial lawyer with a concentration in complex commercial litigation. She also enjoyed a practice advising and litigating on behalf of K-12, tertiary, public and private sector education clients. Prior to joining Hangley, Judge Beetlestone was the General Counsel of the School District of Philadelphia in which capacity she provided legal advice and representation to the School District and to its governing body, the School Reform Commission. Before that she was a partner at Schnader Harrison Segal & Lewis LLP. Upon graduating from law school she served as a law clerk for the late Judge Robert Gawthrop, III (U.S.D.C. E.D.Pa.). Each year from 2008 through 2014 Judge Beetlestone was selected by the publication Best Lawyers in America as a Best Lawyer in America in the field of Education Law and in 2012 she was first named as one of the top 250 women in litigation in the United States by the Benchmark publication. Judge Beetlestone received her B.A. (Hons) in Philosophy from Liverpool University and her J.D. from the University of Pennsylvania. In 2019, Judge Beetlestone received two honorary degrees of Doctor of Laws – one from Drexel University and the other from her alma mater, Liverpool University. She had a successful career as a television news producer before going to law school. 

Jay Dubow Esq.

Mr. Dubow is a partner with Troutman Pepper Hamilton Sanders LLP, resident in the Philadelphia office. He is a member of the firm’s White Collar Litigation and Investigations Practice Groups and co-chair of its Securities Investigations and Enforcement Group. Mr. Dubow focuses his practice on complex business litigation, with a special emphasis on defending against derivative and securities class action litigation and representing clients involved in investigations by the U.S. Securities and Exchange Commission, the Pennsylvania Department of Banking and Securities and various self-regulatory organizations, including stock exchanges and the Financial Industry Regulatory Authority, Inc. He also conducts internal investigations on behalf of clients. He previously served as senior vice president, general counsel and chief administrative officer of Advanta Corp. He began his career as a staff attorney and t hen branch chief in the Division of Enforcement of the U.S. Securities and Exchange Commission in Washington, D.C. Active in local and national bar associations, Mr. Dubow is a leader in the American Bar Associations Business Law Section and currently serves as vice chair of its Business and Corporate Litigation Committee. He is admitted to practice in Pennsylvania and the District of Columbia. Mr. Dubow received his B.S., magna cum laude, from the Wharton School of the University of Pennsylvania and his J.D. from the University of Pennsylvania Law School. 

Richard Levan Esq.

Mr. Levan is the founder of Levan Legal LLC in Philadelphia. He has substantial experience in the Securities and White Collar Enforcement fields, having previously served as a senior trial counsel at the U.S. Securities and Exchange Commission’s Philadelphia Office and as an Assistant U.S. Attorney in the Department of Justice in Washington, D.C. Mr. Levan is currently co-chair of the Securities Regulation Committee of the Philadelphia Bar Association. He is a former Chair of the American Bar Association’s Financial Services Integration Committee, a national group addressing the unique compliance and regulatory issues confronting banks, securities firms and insurance companies today. He has also served as a member of the Editorial Advisory Board of Securities Law360 and the Pennsylvania Securities Commission’s Attorney Advisory Board. In addition to his extensive compliance and counseling background, Mr. Levan has over thirty-five years of experience handling civil and criminal cases initiated by the U.S. Department of Justice, the U.S. Securities and Exchange Commission, the PCAOB, state securities and insurance agencies and self-regulatory organizations such as FINRA. Mr. Levan writes frequently on matters affecting the securities industry and has been quoted in many national publications. He has served as a featured speaker at national compliance and regulatory conferences sponsored by such organizations as the National Society of Compliance Professionals, National Regulatory Services, American Bar Association, Society of Financial Service Professionals, NASD/Wharton Institute, Pennsylvania Bar Institute and Investment Adviser Week. Mr. Levan has been listed in Pennsylvania Super Lawyers in the field of securities litigation every year since 2010. He also holds an AV rating, the highest rating awarded by Martindale-Hubbell. 


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