Congratulations to the 2016 Securities Law Program Certificate Students.
Securities Law Program Director David Lipton participated in his inaugural meeting as a Trustee of the Securities and Exchange Commission Historical Society, held in New York City.
Congratulations to the 2016 Securities Law Program National Moot Court Team!
A vibrant and well-prepared Securities Law Program National Moot Court team triumphed over 22 other law school teams to rise to the final rounds, along with seven other teams, this past weekend at the Forty-First Annual Irving R. Kaufman Memorial Securities Law Moot Court Competition held in New York City.
Not only did the team make the final rounds, but they brought back to CUA Law a Best Brief trophy, the third time CUA Law won this particular award. The team was comprised of Chris Geissler (3L), Andriana VanderGriend (3L), and Will Lane (2L). Under the guidance of co-coaches Kevin Link ’12 (a former two-time team member), Securities Law Program Director David Lipton, and Securities Law Program Moot Court Chancellor Dan O’Connell (3L) (also a former team member), the team spent the better part of the spring semester writing the winning brief and practicing for the competition. Read more here.
Securities Law Program alumni return to Hosts Spring Career Panel
March 30,2016, Six alumni of Catholic University’s Securities Law Program returned on March 30 to participate in a career discussion panel for current students at the Columbus School of Law. The panelists included Ivy Huo Keller ’11, Securities and Exchange Commission (SEC), Theodore Lazo ’94, Securities Industry and Financial Markets Association (SIFMA), Jeff Puretz ’81, Dechert, LLP, Michael Shaw ’93, Oyster Consulting, Andrew Southerling ’94, Morgan, Lewis & Bockius, LLP, and Nicole H. Sprinzen ’99, Cozen O’Conner.
The alumni on the panel had a strikingly impressive array of talents and past and present positions. One panelist was a general counsel at both the NYSE and SIFMA. Another panelist was a former Executive Vice President of FINRA and the Director of the Certified Financial Planner Board. A third panelist heads the Mutual Funds Division of a major national law firm. Those credentials just touch on the highlights of some of the backgrounds of those speaking at the forum. All of these speakers took many of the securities courses offered by the Securities Law Program while at the Law School.
Read more here.
Professor David Lipton was elected to the Board of Trustees of the SEC Historical Society and Vice President-museum
Professor David Lipton was a guest on EWTN Nightly News discussing the volatile trading which world wide securities markets are facing today
Annual CUA Securities Law Program Luncheon Continues to Celebrate a Strong Community by Bringing Together Aumni and Students
CUA Securities Law Program Lecture Series Finishes with a Bang - Topic: Should In House Attorneys Be Responsible for Corporate Compliance Failures
A Spirited Discussion On Corporate Governance Presented by The Securities Law Program
CUA Law Securities Law Program Alumnus Named Chief Watchdog at the Department of Veterans Affairs
SEC Commissioner Daniel Gallagher, Class of 1999, Leaves SEC
CUA’s Securities Law Program Presents the First Installment in its Fall Lecture Series
Professor David Lipton Quoted by Inside Counsel Discussing the Shutdown of the New York Stock Exchange on July 8
Congratulations to the 2015 Securities Law Program Certificate Students.
The graduating certificate students, along with Professor Lipton, Program Director, seen here confidently reminding the profession as to who is NUMBER ONE. Professor Lipton, as in the last seven years, again plans to have all students employed by the end of 2015. One student is already placed. All students have already had at least one interview.
February 11, 2015, Slowinski Moot Court Room, 5-6 p.m., Prosecuting Insider Trading - A Delicate Balance presented by Stephen L. Cohen, Associate Director, Division of Enforcement, United States Securities and Exchange Commission. See flyer
October 29, 2014, Slowinski Moot Court Room, 5-6 p.m., High Frequency Trading --- what is it, and how does it impact the markets, presented by Gregg E. Berman, Ph.D., Associate Director of the Office of Analytics and Research, Division of Trading and Markets, United States Securities and Exchange Commission. Click here.
September 25, 2014, Slowinski Moot Court Room, 5-6 p.m., Recent Developments at the SEC, presented by Securities and Exchange Commissioner Daniel Gallagher, Class of 1999. Click here.
June 2014 – Three Alumni of the Securities Law Program and an Emeritus Adjunct assisted the School by working to have their nationally recognized law firms to commit to interviewing CUA law students, on our campus, for 2L Summer Internships. The firms that were added to our list of firms interviewing on campus are Dechert (Alumnus and Adjunct Professor Jeffrey Puretz); Bingham (Emeritus Adjunct Professor John Arnholz); Goodwin (Alumni Paul Delligatti and James Catano).
Coincidentally, the same week that these three firms decided to interview at the Law School, The Wall Street Journal ran a story on June 23rd with the following headline on the front page of their second section: “Big Law Firms Resume Hiring.”
The story went on to note: “Entry-level hiring at major law firms is ramping back up from the recession era doldrums.”
Congratulations to the 2014 Securities Law Program graduates!
This year, the Securities Law Program graduated ten students. By mid-June, half of those students already were placed. Also by mid-June, all of the student already had one or more employment interviews.
March 27, 2014 - Securities Law Program in cooperation with the Comparative and International Institute is presenting the lecture on The Financial Crises and Its Impact on Financial Regulation in Europe by Luís Domingos Silva Morais, University of Lisbon Law School (FDL), Doctor of Law (PhD), and Associate Professor FDL. Click here
February 5, 2014 - Securities Law Program in cooperation with the Comparative and International Program. Securities Law Program lecture by Geoffrey F. Aronow, Chief Counsel and Senior Policy Advisor of the Office on International Affairs at the U.S. Securities and Exchange Commission. Click here.
The 29th Annual Securities Practice Group alumni luncheon was held on Nov. 7 at the Army Navy Club in downtown, Washington, D.C.
October 30th. Slowinski Court Room - 5:15 pm. Mortgage Bonds, their demise and rebirth...are we ready for this? Presented by John Arnholz, Partner, Bignham. Click here.
September 25th. Slowinski Moot Court Room - 5:15 P.M. Securities and Exchange Commissioner Dan Gallagher to speak. Topic: “Proxy Advisors and Their Impact on Corporate Governance and SEC Required Disclosure.”
Batting 1,000 - All 2013 Securities Law Program Certificate Graduates Have Landed Jobs. Click here.
SEC Commissioner Daniel Gallagher, Class of 1999, Speaks at Law School about Proxy Advisors. Click here.
Annual Securities Law Alumni/Student Mixer to be held Thursday, April 4th, 6 to 8 pm at Bobby Van's Steakhouse, 800 15th Street, NW. All securities law alumni and all student interested in securities law are invited to attend. Click here.
“How to get a job in Securities Law,” annual career panel on Wednesday, March 20, 2013, 5 to 6:10 p.m., Walter A. Slowinski Court Room, Columbus School of Law; event sponsored by the Securities Law Program in cooperation with the Office of Career and Professional Development
Securities Program Luncheon at FINRA. February 28th. Prof Lipton will be meeting with alumni of the Securities Program who work at FINRA. The luncheon will be held on the Shady Grove campus on Thursday, February 28th at 12.15. Invited guests include Director of Enforcement, Prof. Brad Bennett and Chief Legal Counsel Robert Colby.
"How the SEC is Responding to the Increasingly Computerized Markets," presented by Gregg E. Berman, Ph.D., Senior Advisor to the Director, Division of Trading and Markets, United States Securities and Exchange Commission. Wednesday, January 30, 2013, 5-6:30 p.m., Slowinski Courtroom. Click here
Securities Alumni Luncheon. "Keeping the Retail Investor in the Market," delivered by J. Bradley Bennett, Executive Vice President of Enforcement. Army-Navy Club, Washington, D.C., November 8, 2012.
Securities Law Program Announces Recipients of New Scholarship. October 31, 2012.
"Pre IPO Issuer Disclosure...Post Facebook," presented by Philip Shaikun, Associate General Counsel, Financial Industry Regulatory Authority (FINRA). October 24, 2012.
Securities Law Moot Court Competition. Problem Distribution will be Tuesday, October 2, through Friday, October 5, 2012 and the brief will be due Friday, October 12, 2012. Oral arguments October 20, 2012. For more information, contact Brendan Koeth, Securities Law Vice-Chancellor.
"High Frequency Trading: Why is it done? What are its dangers? Can we protect our markets?", a CUA Securities Law Program Speakers Series in New York, October 3, 2012.
Chris Concannon, 1994, Testifies on Capitol Hill About High-Speed Trading, September 21, 2012.
J. Caleb Boggs III is 2012 Republican Lawyer of the Year, September 19, 2012.
The Rise and Fall of a Great American Law Firm, presented by Donald Murray, ’84, partner, Covington & Burling and Eric Blanchard,’99, partner, Covington & Burling. Wednesday, September 12, 2012.
Employment Rate for 2012 Securities Law Certificate Grads is 100 Percent, August 27, 2012.
Securities Law Program announces availability of new scholarships, August 23, 2012.
Major Gift Pledged by Paul and Susan Serini to Scholarship Fund, June 4, 2012.
Professor David Lipton Interviewed on Nightly Business Report, May 30, 2012.
2012 Securities Law Program graduates. Institute Certificate Ceremony, May 24, 2012.
High Frequency Trading: Why is it done? What are its dangers? Can we protect our markets? a symposium with Brigagliano, Concannon and Lazo, March 26, 2012.
Catholic University Law Team Takes Home the Silver in Securities Moot Court competition, March 23-25, 2012.
Peter J. Melley, Office of General Counsel, FINRA. "FINRA's Helping Hand to the Feds in Prosecuting Financial Fraud." January 30, 2012.
Silver Screen: How Films Shape Public Perception of Financial Regulation - a video broadcast on www.sechistorical.org, November 1, 2011. Moderated by Professor David Lipton. With: J. Bradley Bennett of FINRA, John Reed Stark with Stroz Friedberg LLC. Coordinated by Loren E. Miller, Ph.D. Candidate in History, American University.
Securities Alumni Luncheon, Thursday, November 3, 2011. Army-Navy Club, Washington, D.C. Keynote by SEC Commissioner Dan Gallagher.
Creating Liquidity for Shareholders of Private Companies: The New Definition of Publicly Traded Securities, a symposium conceived and moderated by Professor David Lipton. October 18, 2011. Dewey & LeBoeuf, New York City, NY. Watch the video.
Securities Program Alum, Dan Gallagher, Leading Nominee for SEC Commissioner Slot. Washington Post, April 21, 2011.
Alumna Jennifer McHugh, 1994, Named Acting Director of SEC Division of Investment Management. Read SEC Press Release.
Alumnus in the News: Finra Names New Top Cop, Wall Street Journal, October 22, 2010.
NYC Securities Alumni Event, Tuesday, October 18, 2011. Dewey & LeBoeuf, NY, NY.
Eric Juzenas, Senior Counsel for Chairman Gary Gensler, Commodity Futures Trading Commission. "Derivative Regulation Post Dodd-Frank. Where We Were Supposed to Be? Why? And, How Close are We?” Wednesday, October 19, 2011, Walter A. Slowinski Court Room, Columbus School of Law, Catholic University.
"Dodd-Frank: What was intended; How are we doing?," lecture by Christy L. Romero, Acting Special Inspector General, SIGTARP, Monday, October 3, 2011.
2011 Securities Law Program graduates. Institute Certificate Ceremony, May 26, 2011
Adjunct faculty dinner at Nora's, Tuesday, May 17, 2011, with Professors McCarty, Gross, Arnholtz, Ryan, McGuire, Ruddy, Rusch, Faragasso.
The Flash Crash of May 6, 2010. Gregg Berman, Senior Adviser to the Director of Trading and Markets, U.S. Securities and Exchange Commission, March 28, 2011.
Securities Law Student Association (SLSA) Annual Alumni Mixer, America Restaurant, March 24, 2011.
Career Panel, sponsored by SLP and the Office of Career and Professional Development, February 23, 2011.
Lunch at FINRA, January 20, 2011.
"FINRA, Post The Dodd-Frank Act,” lecture by Richard Ketchum, Chairman and CEO of FINRA. Securities Alumni Luncheon, November 4, 2010, 12:30 p.m. Army Navy Club.
Current Issues in Securities Enforcement, Robert Khuzami, Director, Division of Enforcement, U.S. Securities and Exchange Commission, Monday, September 13th, 5 to 6:30 p.m., Walter A. Slowinski Court Room.
2011 Securities Law Program graduates. Certificate Ceremony, Thursday, May 27th, 2010.
SEC's Case Against Goldman Sachs. Professor David Lipton interviewed on Bloomberg News, May 1st, 2010. Podcast.
Alumni-Student Mixer, April 15, 2010.
CUA Law Students Present Check to SEC Historical Society, April 14, 2010.
Advising session, March 31, 2010, 4:10 - 5 p.m., Room 303.
"Social Responsibility Through Securities Regulation" - the SEC Historical Society and CUA Law Securities Program present a joint talk with Nell Minow, Corporate Activist.
Wednesday, March 17, 2010. View Webcast.
"Recruitment of Minorities in the Securities Industry," a symposium co-sponsored by the Securities and Exchange Commission.
Thursday, March 4, 2010.
"How to Conduct A Compliance Examination to Unearth Wrongdoing" - a talk by Genevievette Walker-Lightfoot, General Counsel Office, Federal Reserve Board, formerly with the Office of Compliance, Inspections and Examinations, Securities Exchange Commission, conducted SEC examination of Madoff operations in 2004 which led troubling questions.
Monday, January 11, 2010.
Alumni Luncheon, Army Navy Club, Thursday, November 12, 2009.
"Inside the Madoff Investigation" - a Webinar with alumna Genevievette Walker-Lightfoot, a former attorney in the SEC’s Office of Compliance Inspections and Examinations and one of the examiners who raised concerns about Madoff’s activities some four years before the collapse, September 29, 2009.
"COMPLIANCE WATCH: Hedge Funds Jittery About Registration" - Wall Street Journal article cites two graduates of the program, September 23, 2009.
Robert E. Plaze, Associate Director for Regulation, Division of Investment Management, U.S. Securities and Exchange Commission. "Everything you need to know about money market funds . . . and the role they play in the complex world of complex financial markets." Slowinski Courtroom, Monday, September 14, 2009.
"Make Me a Match," September 1, 2009.
Alumni reunion luncheon, Securities and Exchange Commission, July 28, 2009.
"Staffer at SEC Had Warned Of Madoff. Lawyer Raised Alarm, Then Was Pointed Elsewhere." Washington Post article, July 2, 2009, featuring alumna Genevievette Walker-Lightfoot.
SEC's 75th Anniversary Celebration, June 25, 2009.
Securities Litigation – A Regulatory Perspective. Lecture by Mark Alder, Deputy Chief Litigation Counsel, Division of Enforcement, Securities and Exchange Commission, April 20, 2009.
Responding to a Corporate Crisis. Lecture by Michael Missal, Partner, K&L Gates, March 30, 2009.
The Congressional Response to the Financial Meltdown: What Has Been Done? What Will the New Regulatory System Looks Like? Lecture by Andrew Miller, Senior Counsel, Committee on Financial Services, U.S. House of Representatives, March 16, 2009.
CUA Securities Students/Alumni Mixer, February 3, 2009.
What They Didn’t Teach You in Kindergarten about Law Firm Etiquette. Presentation by Margaret R. Blake, Partner, Bingham and Philip G. Feigen, Hiring Partner, Patton Boggs, LLP, January 26, 2009.
The Securities Practice Group Alumni Luncheon, November 6, 2008.
The Regulation of Investment Banks and Current Market Dislocation. Presentation by Erik R. Sirri, Director, Division of Trading and Markets, October 15, 2008.
What are Municipal Securities? Discussion with Harold L. Johnson, Deputy General Counsel, Municipal Securities Rulemaking Board (MSRB), September 3, 2008.
The Beginning of the Financial Crisis: Loose Lending Practices and Accounting Fraud – The Investigation of New Century and KPMG. Presented by Michael Missal, Partner, Kirkpatrick & Lockhart Preston Gates Elliss LLP, Wednesday, April 9, 2008.
Finding a Job in Securities Law. Andrew Southerling, Morgan Lewis & Bockius LLP, Andrew Miller, Fannie Mae, Hope Jarkowski, Bingham McCutchen LLP, Wendy Friedlander, U.S. Securities and Exchange Comm., Division of Investment Management, Chris Pilkerton, Ruddy Law Group and Amy Ward, Mayer Brown LLP, Wednesday, February 13, 2008.
Sub-primes: How Did We Get Here and How Are We Getting Ourselves Out? Discussion by Ramon de Castro, Senior Vice President for Capital Markets-Mortgages, Federal National Mortgage Association (Fannie Mae) Wednesday, January 30, 2008.
The Securities Practice Group: Alumni Luncheon, Thursday, November 8, 2007.
Current Issues in Securities Regulation. Lecture by Paul S. Atkins, Commissioner, U.S. Securities and Exchange Commission, Monday, November 5, 2007.
Mutual Recognition: Regulating the Global Securities Markets. Presented by Erik R. Sirri, Director of Market Regulation, U.S. Securities and Exchange Commission, Wednesday, September 19, 2007.