Upper Midwest Securities Litigation and Enforcement Forum

2014 Briggs Securities Litigation Forum

Thursday, May 29, 2014 

Graves 601 Hotel 

601 1st Avenue North

Minneapolis, MN 55403

http://www.graves601hotel.com CLE credits applied for 

REGISTER: Dena Edmiston, Briggs and Morgan, P.A. 612.977.8581 or e-mail dedmiston@briggs.com 


Register today for the fifth annual Upper Midwest Securities Litigation and Enforcement Forum. Join FINRA’s R. Scott DeArmey, District Director of FINRA’s Kansas City District Office; Director of Securities for Minnesota Department of Commerce Robert Moilanen; University of Minnesota law professor and former White House Chief Ethics Officer Richard Painter, and other leaders for a discussion of securities litigation and industry regulation. Speakers will address future challenges and strategies in the financial industry, securities and insurance regulation and enforcement, an update in securities litigation, and current issues for regulators.


8:30 a.m. – 9:00 a.m. Registration and Continental Breakfast 

9:00 a.m. – 9:15 a.m. Welcome – The Algorithm 

Frank A. Taylor, Briggs and Morgan, P.A.

9:15 a.m. – 10:15 a.m. From the Regulators – Current Perspectives 

R. Scott DeArmey, District Director of the Kansas City District Office, FINRA

Robert C. Moilanen, Director of Securities, Minnesota Department of Commerce

James R. Mumford, First Deputy Commissioner, Iowa Insurance Division,

Iowa Department of Commerce

David E. Rosedahl, Briggs and Morgan, P.A. (Moderator)

10:15 a.m. – 11:00 a.m. Unrest in the Municipal Finance World 

Frank E. Fairman, Managing Director and Head of Public Finance Services, Piper Jaffray

Terri Y. Heaton, SVP, Springsted Incorporated

Alan D. Polsky, SVP, Dougherty & Company

Scott G. Knudson, Briggs and Morgan, P.A. (Moderator)

11:00 a.m. – 11:15 a.m. Break 

11:15 a.m. – 12:00 p.m. Strategies for Managing Parallel Regulatory Proceedings 

Patricia S. Bartholomew, Managing Partner, General Counsel, Chief Compliance Officer and Chief Operations Officer, Craig-Hallum Capital Group

Dennis J. Capriglione, Associate General Counsel, Edward Jones

Eric L. Marhoun, EVP and General Counsel, Fidelity & Guaranty Life

Julie H. Firestone, Briggs and Morgan, P.A. (Moderator)

12:00 p.m. – 12:45 p.m. Lunch (provided) 

Securities Litigation and Arbitration Claims: What the Insurers See 

Robert G. Erzen, VP, Arthur J. Gallagher

12:45 p.m. – 1:15 p.m. Developments in Securities Law and Implementation of the JOBS Act 

Professor Richard W. Painter, University of Minnesota Law School Maggie A. Goetze, Briggs and Morgan, P.A. (Moderator)

1:15 p.m. – 2:15 p.m. SEC Initiatives and Current Issues 

Richard T. Chase, General Counsel and Managing Director, RBC Capital Markets, LLC

Alan Grigoletto, VP of Education, Options Industry Council

David S. Royal, Deputy General Counsel, Thrivent Financial

Peter D. Santori, EVP, Chief Compliance Officer, and Chief Regulatory Officer, Chicago Stock Exchange

Frank A. Taylor, Briggs and Morgan, P.A. (Moderator)


2:15 p.m. – 2:30 p.m. Break 

2:30 p.m. – 3:15 p.m. Hedge Funds and Private Equity 

Kevin J. Hiniker, General Counsel & Chief Compliance Officer, Castlelake

Professor Wulf Kaal, University of St. Thomas School of Law

Joseph T. Kinning, Briggs and Morgan, P.A. (Moderator)

3:15 p.m. – 4:00 p.m. The New Great Train Robbery: Cyber Security and Protecting Customer Data 

James C. Browning, Jr., Deputy General Counsel and VP, Stifel, Nicolaus & Company Robert G. Erzen, VP, Arthur J. Gallagher

Paul H. Luehr, Managing Director, Stroz Friedberg

Daniel J. Supalla, Briggs and Morgan, P.A. (Moderator)

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