Government Investigations and Securities Litigation: Connecting the Dots in 2015
Corporations facing publicized investigation by the U.S. Department of Justice, Securities and Exchange Commission, or other law enforcement agencies for alleged misconduct or regulatory violations must prepare for possible civil suits. These may be antitrust, false claims, and consumer class action suits. But, shareholder derivative and class actions are the most common actions filed against companies.
With such concurrent civil litigation, companies should develop a sound responsive strategy that includes robust documentation. There are significant incentives to cooperate with government authorities, but attorney-client privilege and attorney work-product waivers constitute an important aspect for attention.
In a two hour, live webcast, a panel of key thought leaders and professionals assembled by The Knowledge Group will provide the audience with an overview and in-depth discussion of the most suitable strategies for addressing Government Investigations and Securities Litigation.
Key topics include:
- Government Investigations and Civil Securities Litigation
- Work-Product Protection
- Risks of Concurrent Criminal Investigation
- Outcomes of Investigation and Civil Litigation
- Recent Cases
- Risk Mitigation Strategies
- Recent Regulatory Developments
- Regulatory Compliance
Nicolas Morgan, Founding Partner
Zaccaro Morgan LLP
- SEC initiatives in financial reporting (AQM/Fraud Task Force/New Rev Rec Standard)
- "Broken Windows” and technical violation sweeps (13D/Form 4)
- Confidentiality Agreements in internal investigations—KBR case
Theodore Altman, Partner
DLA Piper LLP
- Protecting the attorney-client privilege
- Private litigation’s affect on investigation defense strategy
- Risks and benefits of Wells Submissions
- Private litigant’s use of Consent Orders
Jordan Milev, Vice President
NERA Economic Consulting
- Detecting internal practice noncompliance: quantitative approaches to identify and analyze red flags
- Evaluating materiality and damages arising from issues under investigation
- Analysis of exposure related to government investigations and related securities litigation
- Assessing reasonableness of proposed remedies
Who Should Attend:
- Litigation Lawyers
- Securities Lawyers
- Securities and Litigation Professionals
- Multinational Corporations
- Board of Directors
- Other Related/Interested Professionals and Organizations
Theodore Altman, Partner at DLA Piper, has spent the majority of his professional career representing clients in the securities industry and has counseled clients on pivotal issues arising in the board room and acted as their lead counsel in the court room and before the Securities and Exchange Commission. A significant portion of his practice has been devoted to mergers and acquisitions transactions and he counts among his representations some very hard fought and well known takeover contests.
Theodore Altman, Partner at DLA Piper, has spent the majority of his professional career representing clients in the securities industry …
Dr. Jordan Milev is a Vice President in the Securities and Finance Practice of NERA Economic Consulting. He performs economic analysis in internal investigations, enforcement, and criminal white collar matters. He has been retained by the U.S. Attorney’s office and also by parties at various stages of SEC, DOL, and other regulatory investigations and litigation (both criminal and civil). He has assisted numerous clients anticipating or facing regulatory investigation or litigation with analysis of gains and losses, red flags, the economic effect of internal procedures and practices, materiality, and damages. He frequently advises on the reasonableness of proposed remedies.
Dr. Jordan Milev is a Vice President in the Securities and Finance Practice of NERA Economic Consulting. He performs economic …
Nick Morgan is a founding partner at Zaccaro Morgan LLP. Mr. Morgan practices complex securities litigation in state and federal courts with special emphasis in representing issuers, officers and directors, investment funds, analysts, and brokers in connection with SEC and FINRA investigations, litigation, and arbitration. He also advises clients in non-litigation settings, counseling public companies, funds and broker-dealer firms in securities compliance and corporate governance issues, conducting internal investigations and assisting in regulatory examinations. Prior to founding Zaccaro Morgan, Nick was a partner at DLA Piper, where he was the West Coast Chair of the firm’s Securities Enforcement Practice. From 1998 to 2005, Mr. Morgan prosecuted securities fraud in the SEC’s Enforcement Division, rising from staff attorney to branch chief to senior trial counsel, and was lead trial counsel on a wide variety of matters.
Nick Morgan is a founding partner at Zaccaro Morgan LLP. Mr. Morgan practices complex securities litigation in state and federal …
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NY Category of CLE Credit:
Law Practice Management
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About DLA Piper LLP
DLA Piper is a global law firm with lawyers in the Americas, Asia Pacific, Europe and the Middle East, positioning us to help companies with their legal needs around the world. We strive to be the leading global business law firm by delivering quality and value to our clients. We achieve this through practical and innovative legal solutions that help our clients succeed. We deliver consistent services across our platform of practices and sectors in all matters we undertake. Our clients range from multinational, Global 1000, and Fortune 500 enterprises to emerging companies developing industry-leading technologies. They include more than half of the Fortune 250 and nearly half of the FTSE 350 or their subsidiaries. We also advise governments and public sector bodies.
About NERA Economic Consulting
NERA Economic Consulting (www.nera.com) is a global firm of experts dedicated to applying economic, finance, and quantitative principles to complex business and legal challenges. For half a century, NERA’s economists have been creating strategies, studies, reports, expert testimony, and policy recommendations for government authorities and the world’s leading law firms and corporations. With its main office in New York City, NERA serves clients from more than 25 offices across North America, Europe, and Asia Pacific.
About Zaccaro Morgan LLP
Zaccaro Morgan LLP is the brainchild of former prosecutors and trial veterans, Thomas Zaccaro and Nicolas Morgan. Established in March of 2015, Zaccaro Morgan LLP has a niche focus on the interests of corporations and individuals facing high-stakes litigation and governmental or regulatory scrutiny.
The founding partners first worked together while serving as senior enforcement trial attorneys for the Securities and Exchange Commission. After several years with the SEC, both attorneys joined the private sector and rose in the partnership ranks of established Am Law 100 law firms, respectively building successful practices in the area of government and SEC investigations and litigation defense, as well as white collar criminal defense and appellate work.
While managing thriving and challenging client portfolios, the founding partners left “big law” and teamed up once again to achieve their vision of building a dedicated firm, with a deep well of industry, trial, and regulatory experience, focused on providing quality representation, sophisticated counsel, along with a nimble, flexible approach to fees.
Zaccaro Morgan LLP is an intensely focused, results-oriented law firm with attorneys who expertly guide clients through the most challenging, difficult, and high-stakes chapters of their lives, careers, and businesses.