The Continuous Growth of Securities Litigation – Opportunities and Risks Explored!
The uptick in securities cases stemming from recent court decisions and trends has been a cutting-edge matter in corporate governance for years. While these lawsuits may not entirely change the setting of securities litigation, they are deemed to spark new challenges and possibly draw tedious enforcement actions. Thus, to avoid the consequences and risks of securities fraud violations, it is of utmost importance that companies keep apace of the latest statutory developments and consequently, maintain effective compliance strategies.
In this two-hour LIVE Webcast, a panel of distinguished professionals and thought leaders assembled by the Knowledge Group will help you understand the important aspects of this significant topic. They will provide an in-depth discussion of the Continuous Growth of Securities Litigation and will explore its opportunities and risks. Speakers will also offer best practices in mitigating risks and ensuring compliance with securities laws.
Key topics include:
- Recent Securities Litigation Developments
- Implications of Recent Supreme Court Decisions
- Common Securities Fraud Violations
- Opportunities, Risks and Consequences
- Risk Mitigation Schemes
- Enforcement Actions and Best Compliance Practices
Christina M. Hill, Partner
Murphy & McGonigle
- Enforcement Actions and Best Compliance Practices / re: US
- Recent Securities Litigation Developments / re: US
- Implications of Recent Supreme Court Decisions
Sebastien Caron, Partner
LCM Attorneys Inc.
- Enforcement Actions and Best Compliance Practices / re: Canada
- Recent Securities Litigation Developments / re: Canada
- Common Securities Fraud Violations
Lisa Ridgedale, Partner
Hakemi & Ridgedale LLP
- Development in insider trading prosecutions in North America.
Who Should Attend:
- Securities and Finance Lawyers
- Finance Officers
- Senior Financial Professionals
- Financial Crime Attorneys & Consultants
- Chief Financial Officers
- Attorneys and Consultants for Financial Companies
- Other Related/Interested Professionals
Christina Hill, a partner in the Washington, D.C. Office of Murphy & McGonigle, P.C., focuses her practice on securities regulation and litigation. Mrs. Hill’s regulatory practice includes regularly advising broker-dealers, investment advisers and other regulated entities with respect to compliance with securities laws and regulations, compliance and supervisory system review, regulatory registration issues, and regulatory disclosure items. Mrs. Hill’s litigation practice includes representing financial services firms, public companies, and individuals in securities and investment-related litigation, arbitration, and regulatory actions brought by the United States Securities and Exchange Commission, various state securities regulators, and the Financial Industry Regulatory Authority (FINRA, formerly NASD and New York Stock Exchange). Mrs. Hill’s litigation practice also includes frequently representing financial services firms and professionals in customer dispute arbitrations. In connection with these practice areas, Mrs. Hill’s securities experience includes a variety of different investment products and strategies, including stocks, mutual funds, annuities, corporate bonds, municipal bonds, structured products and options.
Prior to entering the practice of law, and while obtaining her law degree, Mrs. Hill worked with many of the current Murphy & McGonigle attorneys as the securities group’s only full-time paralegal. Mrs. Hill also has regulatory-side experience, working for FINRA’s enforcement group as a paralegal, then an investigator.
Mrs. Hill received her J.D. from Catholic University of America Columbus School of Law and her B.S. in Psychology, magna cum laude, from the University of Pittsburgh.
Christina Hill, a partner in the Washington, D.C. Office of Murphy & McGonigle, P.C., focuses her practice on securities regulation …
Mr. Caron is a founding partner of LCM and is currently the managing partner of the firm. With a practice focused on securities and commercial litigation, business communities in Montreal, Toronto and across Canada turn to him for his proven ability to find business solutions to complex problems. He is involved in a number of major class actions, and has extensive experience in arbitration and alternative dispute resolution matters. He regularly acts on behalf of securities brokers and advisors, whom he counsels on the drafting and implementation of compliance policies and represents before the civil and regulatory tribunals. He also acts for telecommunication companies, publicly traded companies and health care institutions.
Mr. Caron has been recognized in the 2013 edition of the Canadian Legal Lexpert® Directory in Securities Litigation. He was also recognized as Litigation Star (2015) - Québec by Benchmark Litigation.
Mr. Caron is a founding partner of LCM and is currently the managing partner of the firm. With a practice focused …
Lisa Ridgedale is a partner in the boutique business litigation firm of Hakemi & Ridgedale LLP in Vancouver. She primarily represents individuals and organizations facing business disputes or regulatory action, particularly in the area of securities law. Her clients include individuals and organizations from the private and public sectors faced with matters such as commercial disputes, criminal complaints related to business activity, and investigations or enforcement proceedings before regulators such as Canadian Securities Commissions, the Mutual Fund Dealers Association and the Investment Industry Regulatory Organization of Canada. She also represents clients in civil proceedings, such as claims for fraud or misrepresentation in connection with the purchase or sale of securities, defamation, shareholder and partnership disputes and breaches of fiduciary duty as well as claims of negligence and professional misconduct.
Her clients benefit from her experience as a former prosecutor, with the British Columbia Ministry of the Attorney General in Vancouver and later, as senior enforcement counsel at the British Columbia Securities Commission. She is also experienced in representing clients in the United States, having practiced law in Washington State.
Lisa is a frequent speaker at seminars and conferences. She is a past president of the Vancouver Bar Association and was, for many years, an elected representative of the Canadian Bar Association, B.C. Branch. She is actively in involved in the local business community, is a member of the Women Presidents’ Organization and serves on the boards of several non-profit and charitable organizations.
Lisa Ridgedale is a partner in the boutique business litigation firm of Hakemi & Ridgedale LLP in Vancouver. She primarily …
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About Murphy & McGonigle
Murphy & McGonigle serves the litigation, enforcement defense, and regulatory counseling needs of clients across the full spectrum of the financial services industry – from national banks, broker-dealers, investment advisers, and hedge funds, to national and international securities markets and exchanges. Many of the firm’s partners formerly served in senior positions at the U.S. Department of Justice, SEC, FINRA, and CFTC and several served in senior executive positions in major financial institutions on Wall Street.
Murphy & McGonigle, founded in 2010, was created based on an innovative law firm model that rigorously controls overhead while providing its attorneys and clients with state-of-the-art technology and litigation support to ensure both world-class service and maximum cost-efficiency.
Murphy & McGonigle operates out of offices in New York, Washington, D.C., and Richmond, Virginia.
For more information about the firm, please visit www.mmlawus.com.
About LCM Attorneys Inc.
LCM is a top-tier litigation boutique. Our talented professionals are widely recognized for outstanding work in complex and important matters, where critical interests are at stake. In representing our clients, our team draws from our wealth of experience, commitment to excellence and pursuit of the highest professional standards.
For us, teamwork is fundamental. In creating LCM Attorneys, the firm’s founders’ objective was to build a solid team of dynamic professionals dedicated to combining their energy to achieve our clients’ strategic objectives.
LCM Attorneys Inc. offers services in all areas of civil and commercial litigation, as well as in public and administrative law.
About Hakemi & Ridgedale LLP
Hakemi & Ridgedale LLP is a Vancouver commercial litigation firm acting for businesses and individuals to help resolve legal disputes with an efficient and results driven approach. The firm’s experienced litigators advise clients in areas such as partnership and shareholder disputes, securities litigation, real estate and construction disputes, wills and estate matters, bankruptcy and insolvency and employment law.