Speaking Engagement

PLI Insider Trading 2010: How to Stay Out of Trouble

05 Oct 2010 09:00 a.m. - 11:15 a.m.

PLI California Center
685 Market Street
San Francisco, CA 94105
(415) 498-2800

Why You Should Attend

Insider trading continues to make headlines. Major hedge funds and corporate names are involved in what the federal authorities are calling the biggest insider trading investigations in a generation. Prosecutors are hinting that there is more to come. The SEC has recently brought its first insider trading case ever concerning credit default swaps. Aggressive investigative techniques have included court-authorized wiretaps and consensual recording of telephone conversations. Meanwhile, the SEC has announced new policies to foster cooperation in its investigations.

Our panelists will discuss these recent developments and what officers and directors of public companies and market participants can do to stay out of insider trading trouble.

What You Will Learn

  • Review of recent cases, latest developments, and state of insider trading laws
  • How are these laws being used in private securities litigation
  • Parallel criminal and SEC proceedings
  • Wiretaps and other investigative techniques
  • Considerations regarding directors’ and officers’ liability and indemnification
  • Tips on how to reduce liability relating to 10b5-1 plans, Regulation FD, and pre-clearance
  • What companies can do to customize compliance and training

Who Should Attend

In-house counsel, outside counsel with some experience in this area, corporate directors and officers, regulatory and compliance officers, risk managers, internal audit staff, and ethics officers.


  • Jordan Eth, Partner, Morrison & Foerster LLP
  • Jackie Liu, Partner, Morrison & Foerster LLP
  • Judson E. Lobdell, Partner, Morrison & Foerster LLP (former Assistant U.S. Attorney)
  • Craig D. Martin, Partner, Morrison & Foerster LLP (former SEC Enforcement Attorney)
  • Brandon C. Parris, Partner, Morrison & Foerster LLP
  • Anna Erickson White, Partner, Morrison & Foerster LLP



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