The SEC and Dodd-Frank After One Year

2011 Midwest Securities Law Institute
 | 8:00am EST
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 14, 2011

  • 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 7, 2011Registration 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
(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.12:20–1:45 p.m.1:45–2:45 p.m.2:45–3:00 p.m.3:00–4:15 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 Since Dodd-Frank

  • 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 Arising out of Dodd-Frank

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


SEC Enforcement Issues Arising Out of the Financial Crisis

  • Terence M. Healey, Assistant Chief Litigation Counsel, U.S. Securities and Exchange Commission
  • Joseph E. Papelian, Deputy General Counsel-Litigation, Delphi Corporation
  • Bradley J. Schram, Hertz Schram

Lunch and Guest Speaker

Insider Trading Update

  • David J. Van Havermaat, Senior Trial Counsel, U.S. Securities and Exchange Commission, L.A. Regional Office
  • Nils Kessler, Assistant U.S. Attorney, Western District of Michigan
  • Richard E. Zuckerman, Honigman, Miller, Schwartz & Cohn


Broker-Dealer Arbitration and Litigation Update

  • Joseph H. Spiegel, Joseph H. Spiegel, PC
  • Felicia Fox, Financial Industry Regulatory Authority
  • Raymond W. Henney, Honigman, Miller, Schwartz & Cohn
  • Mark L. Kowalsky, Jaffe, Raitt, Heuer & Weiss
  • Clarence L. Pozza, Jr., Miller, Canfield, Paddock & Stone
  • Eric Richards, Mika, Meyers, Beckett & Jones
  • Gary M. Saretsky, Saretsky, Hart, Michaels & Gould
  • Anthony V. Trogan, Anthony V. Trogran PLLC

Related Professionals

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Media Contact

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