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2014 Midwest Securities Law Institute
Course Agenda

Friday, October 10, 2014

8:00–8:45 a.m. Registration
8:45–9:00 a.m. Welcome
Dean Joan W. Howarth

Introduction and Summary of Events

Raymond W. Henney, Co-Chair
Joseph H. Spiegel, Co-Chair
Elliot A. Spoon, Co-Chair
9:00–10:00 a.m. Developments in Broker-Dealer and Investment Adviser Regulation
Jennifer McCarthy, Assistant Director, Office of Chief Counsel, Office of Compliance Investigations and Examinations, U.S. Securities and Exchange Commission
Kris Easter, O’Melveny & Myers
Hugh H. Makens, Warner, Norcross & Judd
Raymond W. Henney, Honigman Miller Schwartz & Cohn
10:00–11:10 a.m. Broker-Dealer Arbitration and Litigation Update
Felicia Fox, Financial Industry Regulatory Authority
Gary M. Saretsky, Saretsky Hart Michaels & Gould
Anthony V. Trogan, Anthony V. Trogan PLLC
John A. Hubbard, Hubbard Snitchler & Parzianello
Benjamin P. Edwards, MSU College of Law
Joseph H. Spiegel, Joseph H. Spiegel PC
11:10–11:20 a.m. Break
11:20 a.m.–12:20 p.m. SEC Enforcement Update
John Birkenheier, Supervisory Trial Counsel, U.S. Securities and Exchange Commission, Chicago Regional Office
David J. Van Havermaat, Senior Trial Counsel, U.S. Securities and Exchange Commission, L.A. Regional Office
Richard E. Zuckerman, Honigman Miller Schwartz & Cohn
12:20–1:45 p.m. Lunch and Guest Speaker
Patricia Geoghegan, Acting Special Master for TARP Executive Compensation, U.S. Department of the Treasury
1:45–2:45 p.m. Securities “Transactional” Hot Topics
Martin Dunn, O’Melveny & Myers
Mark A. Metz, Dykema Gossett
Peter Sugar, Jaffe Raitt Heuer & Weiss
2:45–3:00 p.m. Break
3:00–4:00 p.m. State of Michigan Investigations and Enforcement
Lindsay DeRosia, Securities Investigations Manager, Corporations, Securities and Commercial Licensing Bureau, State of Michigan
Clarence L. Pozza Jr., Miller Canfield
Mark L. Kowalsky, Jaffe Raitt Heuer & Weiss

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