Spring Training for Investor Relations Executives: Avoiding Unforced Errors in Corporate Disclosure
During spring training, Major League Baseball players focus on fundamentals and the “little-but-important” things that might make the difference between winning and losing once the season starts. The difference between the company winning and losing shareholder litigation can come down to whether management has focused on the fundamentals of corporate disclosure and avoided making certain unforced errors.
In our April meeting, two experts in shareholder litigation defense will discuss ways Investor Relations can work with management to avoid these unforced errors both before and during shareholder litigation.
We want to thank Wilson Sonsini Goodrich & Rosati, P.C. for hosting this event.
Barry M. Kaplan & Gregory L. Watts, Wilson Sonsini Goodrich & Rosati, P.C.
Thursday, April 17, 2014
7:30 AM: Breakfast
8:00-9:00 AM: Presentation/Q&A
Wilson Sonsini Goodrich & Rosati
701 Fifth Avenue, Suite 5100
Seattle, WA 98104-7036
Wilson Sonsini’s Seattle offices are located on the 51st floor of the Columbia Tower. Take the elevator to the 40th floor and transfer to a second elevator for floors 40-51.
Guests can park in the garage beneath the building and WSGR will provide validations.
NIRI Seattle Members $25.00
Non - members $35.00
Wednesday, April 16, 2014
About the speakers:
Barry M. Kaplan is a partner in the Seattle office of Wilson Sonsini Goodrich & Rosati. Barry has broad experience in securities and corporate governance litigation, class action defense, SEC and internal corporate investigations, and complex commercial litigation, including international disputes. Barry is a frequent writer and speaker on securities litigation and corporate law and governance topics, and has taught securities regulation at the University of Washington School of Law. He teaches a semester-long course on securities litigation at the University of Washington Law School. He also co-authored the leading treatise on Washington corporate law, published by LexisNexis. His many civic activities have included serving on the boards of directors for Seattle Youth Symphony Orchestras, Legal Aid for Washington, Temple Beth Am, and the Intiman Theatre. Barry currently serves on the board of the Washington Israel Business Council (WIBC). Upon graduating from law school, Barry clerked for the Honorable Charles W. Joiner in the U.S. District Court for the Eastern District of Michigan. Barry currently serves as a member of the firm's board of directors and previously was a member of the firm's Policy Committee as well as its Nominating Committee. Best Lawyers in America recently named Barry the 2012 Securities Litigator of the Year for Seattle the first time that this honor has been awarded to a Seattle securities litigator.
Greg Watts is a partner at Wilson Sonsini Goodrich & Rosati, where he focuses on securities and complex commercial litigation, primarily defending companies and their directors and officers in securities class actions, shareholder derivative actions, contested mergers and acquisitions, and SEC investigations and enforcement proceedings. He also advises audit committees, special committees, and boards of directors in internal investigations. Greg has represented companies and their directors and officers in dozens of securities class action and shareholder derivative lawsuits. He has had great success in winning these cases, including most recently on behalf of Solta Medical and Nighthawk Radiology. Due to his expertise, Greg has represented clients around the country in federal and state court, including in Alabama, California, Colorado, Delaware, Idaho, Missouri, North Carolina, Texas, and Washington. Greg has extensive experience defending companies and individuals in connection with SEC investigations, including those involving financial reporting and accounting fraud allegations, disclosure issues, and potential insider trading violations. In SEC matters, he has represented clients at every stage from the inception of an SEC inquiry through the Wells Notice (the point at which the SEC enforcement staff recommends the initiation of a lawsuit) and to bench and jury trials. On many occasions, an enforcement action ultimately was not filed. Greg frequently conducts board, audit committee, and special committee internal investigations. These investigations often are time sensitive, complex, and/or involve highly confidential corporate information, and Greg prides himself on working with board members and outside auditors to develop cost-effective investigation procedures.