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2010 Midwest Securities Law Institute

October 15, 2010, 8:00am EST
Michigan State University Law College Building
East Lansing, MI
Corner of Shaw and Bogue
368 Law College Building
East Lansing, Michigan 48824

Sponsored by the Business Law Section of the State Bar of MichiganFriday, October 15, 2010

  • Join your colleagues in examining current issues in securities regulation
  • Receive updates from the Securities and Exchange Commission and the Financial Industry Regulatory Authority
  • Hear from leading experts in securities law and securities litigation

Please Register by October 8, 2010Registration 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 http://www.law.msu.edu/securities/register.php
(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.Course Agenda8:00–8:45 a.m.8:45–9:00 a.m.9:00–10:00 a.m.10:00–11:10 a.m.11:10–11:20 a.m.11:20 a.m. – 12:20 p.m.12:20–1:15 p.m.1:15–2:15 p.m.2:15–3:45 p.m.3:45–4:00 p.m.4:00–4:45 p.m.


Welcome from Dean Joan W. Howarth
Introduction and Summary of Events

  • Joseph H. Spiegel, Co-Chair
  • Elliot A. Spoon, Co-Chair

Developments in Broker-Dealer and Investment Adviser Regulation

  • John Walsh, Chief Counsel, Office of Compliance Investigations and Examinations, Securities and Exchange Commission
  • Hugh H. Makens, Warner, Norcross & Judd
  • William C. Alsover, Alsover Business Consulting

SEC "Transactional" Hot Topics

  • Patrick Daugherty, Foley & Lardner
  • Martin Dunn, O’Melveny & Myers
  • Robert A. Hudson, Butzel Long
  • Mark A. Metz, Dykema Gossett


SEC Enforcement Issues

  • Steven L. Klawans, U.S. Securities and Exchange Commission, Chicago Regional Office
  • Joseph E. Papelian, Deputy General Counsel-Litigation, Delphi Corporation
  • Clarence L. Pozza, Jr., Miller, Canfield, Paddock & Stone


Criminal Securities Violations and Proceedings

  • Nils Kessler, Assistant U.S. Attorney, W.D. Michigan
  • Richard E. Zuckerman, Honigman, Miller, Schwartz & Cohn
  • David DuMouchel, Butzel Long

Mock FINRA Arbitration

  • 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
  • Bradley J. Schram, Hertz Schram
  • Eric Richards, Mika, Meyers, Beckett & Jones


Discussion of Mock Arbitration