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SEC, NAIC, and FINRA Examination & Enforcement Trends

June 17, 2013

Insured Retirement Institute (IRI) Litigation Summit, Government Legal & Regulatory Conference

Sutherland invites you to register now for the Insured Retirement Institute (IRI) Litigation Summit on June 18 as part of IRI's annual meeting in Washington, D.C.

For the third year, Sutherland is co-sponsoring the Litigation Summit, which focuses exclusively on topics of importance to financial services litigators. This program will be co-moderated by Sutherland Partner Phil Stano, who will be joined by other attorneys from Sutherland's Financial Services Litigation, ERISA Litigation, and Securities Enforcement practices, all of whom will offer their observations on current litigation trends facing annuity and other financial services providers.


  • Unclaimed Property – Navigating the Quagmire
    Phillip E. Stano, Steuart H. Thomsen

    In recent years, insurers have become the subject of significant regulatory activity as well as lawsuits involving state unclaimed property laws and related issues. This session will provide a comprehensive review of all unclaimed property regulatory, legislative and litigation developments. Panelists will focus on unclaimed property audit trends and defenses, related multi-state market examinations, and recent lawsuits against and by insurers.

  • FINRA Arbitration and Enforcement Actions
    Phillip E. Stano, S. Lawrence Polk, Brian L. Rubin,

    2012 saw many new developments in FINRA arbitration and enforcement actions. This session will provide a comprehensive review of recent arbitration rule changes and enforcement actions. Panelists will focus on issues including suitability, due diligence, class action bars and advertising claims.

  • Class Action Litigation and Supreme Court Decisions
    Phillip E. Stano, Thomas W. Curvin, Wilson G. Barmeyer

    The U.S. Supreme Court's seminal ruling in Wal-Mart v. Dukes in 2011 has significant ramifications for class action jurisprudence. This panel will explore the impact of this ruling, subsequent Supreme Court class action rulings due this Term, and discuss the latest developments in class action procedure, including expert witness challenges, monetary damages claims in Rule 23(b)(2) classes, issue certification, and class action waivers.

  • Recent Developments and Trends in Retirement Plan Litigation
    Phillip E. Stano, W. Mark Smith

    Developments continue in revenue sharing and excessive fee class actions involving ERISA-governed retirement plans, including decisions in existing actions and newly docketed matters. This session will provide a timely update on these and other types of fiduciary breach cases brought against retirement product and service providers, as well as address recent regulatory developments affecting the industry.Following the Litigation Summit, Sutherland is hosting a reception for all meeting participants.

On June 17, Sutherland Partner Stephen Roth will participate in a panel discussion titled “Trends In Annuity Product Development.” The variable annuity arms race of the early 2000s has given way to a new wave of innovation as risk management has become a focal point in insurance companies’ product development efforts. In this session, attendees will hear about the annuity products that are available in the marketplace today, and how the industry may evolve in the years to come.

To register for the conference, click here or call 202.469.3000.

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