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2009 Midwest Securities Law Institute

A One-Day Course for Practicing Attorneys, Corporate Counsel, Arbitrators and Financial Industry Professionals

October 16, 2009, 8:00am EST
Michigan State University
Law College Building
Corner of Shaw and Bogue
368 Law College Building
East Lansing, Michigan 48824

Please Register by October 9, 2009

Registration fee:
$125, including refreshment breaks and lunch. There is no conference fee for students; however, students who wish to attend the lunch will be charged $15.

You may register by:
Phone 517/432-6955
Online at www.law.msu.edu/securities
(Payment by credit card)

If you have questions, special needs, or disabilities that require specific aids or services during the Institute, please call 517/432-6955.

Conference Location
Michigan State University
Law College Building
Corner of Shaw and Bogue
MSU Campus
East Lansing, Michigan

8:00-8:45 a.m. 


8:45-9:00 a.m. 

Welcome from Dean Joan W. Howarth
Introduction and Summary of Events
Joseph H. Spiegel, Co-Chairman
Elliot A. Spoon, Co-Chairman

9:00-10:00 a.m. 

Criminal Securities Violations and Proceedings
William P. Bila, Walker, Wilcox, Matousek
Hon. Virginia M. Morgan, U.S. District Court, Eastern District of Michigan
Richard E. Zuckerman, Honigman, Miller, Schwartz & Cohn 

10:00-11:00 a.m. 

SEC "Transactional" Hot Topics
Patrick Daugherty, Foley & Lardner
Martin Dunn, O'Melveny & Myers
Robert A. Hudson, Butzel Long
Mark A. Metz, Dykema Gossett 

11:00-11:15 a.m. 


11:15 a.m.-12:15 p.m. 

SEC Enforcement Issues
Steven L. Klawans, Branch Chief (Chicago), U.S. Securities and Exchange Commission
Hugh Makens, Warner, Norcross & Judd
Clarence L. Pozza, Jr., Miller, Canfield, Paddock & Stone 

12:15-1:30 p.m.


1:30-2:30 p.m.

Administering the New Michigan Uniform Securities Act
Linda Cena, Securities Director, Michigan Office of Financial and Insurance Regulation
Eric Richards, Mika, Meyers, Beckett & Jones
Bradley J. Schram, Hertz Schram

2:30-2:45 p.m.


2:45-4:15 p.m.

FINRA Arbitration Update
Joseph H. Spiegel, Joseph H. Spiegel, PC
Felicia Fox, Financial Industry Regulatory Authority
Gary M. Saretsky, Saretsky, Hart, Michaels & Gould
Mark L. Kowalsky, Jaffe, Raitt, Heuer & Weiss
Anthony V. Trogan, Anthony V. Trogran PLLC
Raymond W. Henney, Honigman, Miller, Schwartz & Cohn
John A. Hubbard, Beals Hubbard