MSU College of Law

2018 Midwest Securities Law Institute
Course Agenda

Midwest Securities Law Institute

October 12, 2018
8:00-8:45 Registration & Breakfast
8:45-9:00 Welcome

Dean Lawrence Ponoroff, Dean & Professor of Law, Michigan State University College of Law
Raymond W. Henney, Institute Co-Chair, Honigman Miller Schwartz and Cohn
Elliot A. Spoon, Institute Co-Chair, Michigan State University College of Law

9:00-10:00 A State Perspective on Securities Issues
Michael Pieciak, President of NASAA and Commissioner of the Vermont Department of Financial Regulation
10:00-11:30 Developments in Broker-Dealer and Investment Advisor Regulation and Compliance Officer Perspectives
Jennifer McCarthy, Securities and Exchange Commission
Kris Easter Guidroz, T. Rowe Price
Shane B. Hansen, Warner Norcross & Judd
Florence Affatato, Portfolio Solutions
Andrea McGrew, USA Financial
Kimberlee Levy, Concorde Investment Services
11:30-12:30 Securities “Transactional” Hot Topics
Martin Dunn, Morrison & Foerster
Robert C. Shrosbree, Dykema Gossett
Peter Sugar, Jaffe, Raitt, Heuer & Weiss
12:30-1:30 Lunch and Panel from State of Michigan LARA Discussing Current Regulatory and Enforcement Issues: Lindsay DeRosia, Stephen Brey, Linda Cena
1:30-2:30 SEC Enforcement Update
John Birkenheier, Securities and Exchange Commission
David J. Van Havermaat, Securities and Exchange Commission
George B. Donnini, Butzel Long
2:30-3:15 Securities Litigation Developments
Michael P. Hindelang, Honigman Miller Schwartz & Cohn
Mark L. Kowalsky, Jaffe, Raitt, Heuer & Weiss
Darryl Bressack, Fink & Associates
3:15-4:00 Securities Arbitration Developments
Felicia Fox, Financial Industry Regulatory Authority
Gary M. Saretsky, Saretsky, Hart, Michaels & Gould
Joseph H. Spiegel, Joseph H. Spiegel, PC
John A. Hubbard, Hubbard, Snitchler & Parzianello