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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
Akrivi Mazarakis, Branch Chief, Office of Chief Counsel, Office of Compliance Investigations and Examinations, U.S. Securities and Exchange Commission
Kris Easter Guidroz, Senior Special Counsel, Division of Investment Management, U.S. Securities and Exchange Commission
Shane B. Hansen, 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
1:45–2:45 p.m. Securities “Transactional” Hot Topics
Martin Dunn, Morrison & Foerster
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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