Latest Trends and Developments in Federal Securities Investigation: What to Expect in 2015 and Beyond
In a two-hour CLE course, a panel of key thought leaders will provide the audience with an in-depth analysis of the pros and cons of congressional investigations of securities fraud violation issues. Speakers will also discuss how materials from securities fraud investigations made by the Congress can be useful for plaintiffs to allege securities fraud violations or by defendants to carry out a motion to dismiss.
Key topics include:
- Securities Fraud – Overview
- Measures to Avoid Securities Fraud
- Effect of Congressional Investigation on Securities Fraud Cases
- Recent Decisions on Securities Fraud Cases
- In re Advanced Battery Technologies, Inc.
- Brophy v. Jiangbo Pharmaceuticals, Inc.
- Omincare (The Sup Court’s decision re falsity of omissions) and
- Halliburton II (price impact) and its aftermath in class-certification cases.
Saul Ewing LLP
- Use of statements in governmental investigations and Congressional hearings other proceedings to support a securities fraud claim
- Use of confidential witness statements in complaints
- Cybersecurity/data-breach related litigation and enforcement actions
(To add commentary from the plaintiffs perspectives)
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
Andrew J. Morris concentrates his practice on complex financial litigation and related enforcement matters. He especially focuses on securities litigation and matters involving financial reporting, accountant liability, banking issues, director-and-officer issues, broker-dealer issues, and corporate governance, as well as on internal investigations. His securities experience includes numerous shareholder class actions as well as regulatory and enforcement matters involving a broad range of topics. He has defended clients including Fortune 50 companies and their audit committees, directors, and officers; major accounting firms; private companies; and individuals. He writes and speaks regularly about complex financial litigation.
Before Mr. Morris co-founded Morvillo LLP, he spent most of his career with a global law firm. He also served as a federal prosecutor and clerked for the Honorable Max Rosenn on the U.S. Court of Appeals for the Third Circuit. He is a former Big Four auditor, and earned law degrees from the University of Virginia and Oxford University, both with honors. He has received recognition from various organizations for his experience in securities and related litigation.
Andrew J. Morris concentrates his practice on complex financial litigation and related enforcement matters. He especially focuses on securities litigation …
John (“J.B.”) Howard, Jr. is a partner in Saul Ewing LLP’s Baltimore, Maryland office and member of the Firm’s Commercial Litigation and Securities Litigation practice groups. J.B. is an experienced litigator who has represented both private and government clients in a variety of significant matters in both state and federal courts. Prior to his current role at Saul Ewing LLP, J.B. served as the Chief Deputy Attorney General for the State of Maryland, with responsibility for the supervision and direction of the legal business of the state, as well as the supervision of 450 attorneys who, collectively, represented all of Maryland state government’s agencies and unities, including all three branches of government.
John (“J.B.”) Howard, Jr. is a partner in Saul Ewing LLP’s Baltimore, Maryland office and member of the Firm’s Commercial …
Mr. Nematzadeh joined the New York office of Pomerantz LLP as an associate in 2015. Prior to joining Pomerantz, Mr. Nematzadeh practiced at Gibson, Dunn & Crutcher LLP. His practice at Gibson Dunn involved federal and state complex litigation and internal and regulatory investigations, focusing on securities and antitrust litigation. Additionally, for his work in representing plaintiffs in Toney-Dick v. Doar, he was awarded a 2013 Pro Bono Publico award from The Legal Aid Society.
Mr. Nematzadeh earned his J.D. degree, cum laude, from Fordham University School of Law. During law school, he served as a member of the Fordham Urban Law Journal and as a business editor of the Fordham Dispute Resolution Society. Additionally, he served as a judicial intern to the Honorable Stuart M. Bernstein of the United States Bankruptcy Court for the Southern District of New York. He earned his B.B.A. degree, with distinction, from the University of Michigan Stephen M. Ross School of Business, with an emphasis in finance and corporate strategy. During business school, he was awarded a University of Michigan Alumnae Council MBNA Scholarship.
Mr. Nematzadeh is the co-author of the Delaware Business Court Insider article entitled “Lead Plaintiffs’ Shareholdings Draw Chancery Review.” He has also contributed to chapters in the American Bar Association’s Antitrust Law Developments, Matthew Bender’s Antitrust Laws and Trade Regulation, and to Professor Deborah W. Denno’s chapter entitled “When Willie Francis Died: The ‘Disturbing’ Story Behind One of the Eighth Amendment’s Most Enduring Standards of Risk” in John H. Blume and Jordan M. Steiker’s book, Death Penalty Stories.
Mr. Nematzadeh joined the New York office of Pomerantz LLP as an associate in 2015. Prior to joining Pomerantz, Mr. …
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
NASBA Field of Study:
Specialized Knowledge and Applications
NY Category of CLE Credit:
Areas of Professional Practice
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About Morvillo LLP
Morvillo LLP is a boutique litigation law firm that focuses on securities and other litigation; SEC investigations; white collar criminal investigations; accounting cases; FCPA matters; and compliance matters. Our partners have extensive experience in complex government regulatory and criminal investigations, congressional investigations, and civil cases, including class actions. We have handled many complex matters involving alleged accounting fraud, insider trading, market abuses, bank fraud, asset-backed securities, bribery of government officials, and false public filings.
Our clients have included financial institutions, publicly held and privately held companies, boards of directors and special committees of boards, corporate executives and directors, investment banks and investment bankers, broker-dealers and their compliance and supervisory personnel, hedge funds and hedge fund principals, investment advisors and associated persons, elected and political officials, accounting firms and accountants, law firms and law partners, and sophisticated individual investors.
About Saul Ewing LLP
Saul Ewing LLP offers clients the best of both worlds: the national reach and sophisticated experience of a large firm and the local connections and value of a small boutique. With eleven offices in Delaware, the District of Columbia, Maryland, Massachusetts, New Jersey, New York and Pennsylvania, Saul Ewing is a multi-service firm that serves businesses throughout the United States and internationally. Clients include recognizable names in corporate America, exciting start-ups and an array of closely held and privately held companies, as well as nonprofits, governmental and educational entities.
About POMERANTZ LLP
Pomerantz LLP is the oldest law firm in the U.S. dedicated to protecting investors through securities litigation. The Firm was founded in 1936 by Abraham L. Pomerantz. Mr. Pomerantz helped secure the right of investors to bring class and derivative actions. Under the leadership of Stanley M. Grossman, the Firm achieved many precedent setting legal decisions and some of the largest recoveries of their day. Today, led by Managing Partner Marc I. Gross, the Firm maintains the commitment to excellence, integrity and shareholder rights passed down by our founder. Pomerantz represents some of the largest pension funds and institutional investors around the world, with combined assets of over $2 trillion – and growing – including union funds, state, county and municipal funds, insurance funds, hedge funds, national pension funds, and asset managers. With an eye to the future, we look forward to continuing the Firm’s dedication to protecting shareholder rights through securities litigation; and its vigorous pursuit of corporate governance reform.