Broadcast Date: Thursday, April 15, 2021
from 12:00 pm to 1:30 pm (ET)


The number of securities lawsuits have proliferated across various industries since the onset of the COVID-19 outbreak. These filings arose from alleged concealed COVID-19 threats, misleading pandemic-related treatments and services, and inadequate disclosure of the pandemic’s impact on financial operations and prospects.

Because of the growing threat, the Securities and Exchange Commission (SEC) released new guidance on how public companies should respond to economic exigencies posed by the pandemic and urged high-quality disclosures about their operations, liquidity, and capital resources.

In a LIVE Webcast, a panel of key thought leaders and distinguished professionals assembled by The Knowledge Group will present a comprehensive discussion of the current and emerging trends and developments in securities litigation and regulation. Speakers will also discuss significant COVID-19 implications, critical issues, and offer best practices to manage risks amid the pandemic.

Key topics include:

  • Securities Litigation and Regulation: Trends and Updates
  • Notable Cases
  • COVID-19 Implications
  • Critical Issues and Challenges
  • Best Compliance Strategies
  • Regulatory Outlook


Course Level:



Advance Preparation:

Print and review course materials


Method of Presentation:

On-demand Webcast (CLE)



General knowledge of securities litigation


Course Code:



NY Category of CLE Credit:

Areas of Professional Practice


Total Credits:

1.5 CLE

Speaker Panel:

Michael J. McConnell, Partner
Jones Day

Mike McConnell defends officers, directors, and corporations in high-stakes securities and fiduciary duty litigation. The matters litigated include securities fraud class actions, SEC investigations and inquiries, derivative cases, proxy fraud litigation, and other matters that are often ancillary to shareholder litigation, including shareholder inspection actions, disputes under shareholder voting agreements, internal corporate investigations, and other special committee matters. Mike serves as the head of litigation for the Firm’s Atlanta Office.

Adam Karageorge, Associate
The Brattle Group

Mr. Karageorge’s experience as both an economic consultant and a litigator positions him uniquely to support legal counsel and expert witnesses in complex litigation matters.

As an associate, he analyzes corporate fraud and Ponzi schemes, shareholder securities class actions, valuation disputes, accounting fraud, and auditor liability. His case work is in contract disputes, business enterprise valuation and economic impact analyses, hedge fund corporate governance, regulatory and reporting compliance, industry standards of care, auditor liability litigation, and causation and damages.

Prior to joining Brattle, Mr. Karageorge gained an extensive legal background through positions at several prestigious legal and financial firms. He also previously served as a law clerk to the UN Ambassador to Cambodia in Phnom Penh.

Adrienna Huffman, Associate
The Brattle Group

Dr. Huffman is experienced in analyzing a broad range of securities, finance, and accounting topics.

Dr. Huffman focuses on financial reporting and disclosures, intangible asset valuation, and issues arising from the application of complex accounting standards. She has served as a subject matter expert on federal investigations into white collar crime and financial reporting fraud, including revenue recognition, the omission of the recognition of derivative liabilities, and intangible asset valuation and impairments.

In a notable engagement, Dr. Huffman managed a large team of data analysts to advise a financial services firm on a $36 million remediation. She also has experience rebutting disgorgement damages related to regulatory penalties and in valuing a pre-IPO, venture-capital backed startup company to calculate damages.

Prior to joining Brattle, Dr. Huffman was competitively awarded a fellowship with the US Securities and Exchange Commission’s (SEC) Division of Economic and Risk Analysis.



Adam KarageorgeAssociate

The Brattle Group

  • While we did expect an uptick in filings due to a flurry of Covid-related activity, the number of filings was down year over year.
  • 2019 was, however, a 20-year record high in terms of overall filings. So, while 2020 numbers were stunted, likely by certain pandemic-related factors and by the subsiding of previous year trend cases, overall filings for 2020 were well above the 20 year average. These numbers were driven mostly by other industry specific and event driven filings like those related to Covid-19, SPACs, Cannabis and Cryptocurrency.
  • With respect to at least these macro-trends, the general landscape of securities litigation is not as abnormal as the rest of 2020.


Adrienna HuffmanAssociate

The Brattle Group

  • Update on COVID-19 securities litigation filed in Q1/Q2 of 2020 – where are the cases now? Where have plaintiffs been successful?
  • Review of more recent COVID-19 securities litigation and analysis of trends using specific filings
  • Review and update on SEC Enforcement trends related to COVID-19 issues


Michael J. McConnell, Partner

Jones Day

  • COVID-19 Securities Cases:  Where is the surge?
    • Comparison to case filings following other significant crises
    • Factors mitigating the number of filings related to COVID-19
  • Overview of the types of cases filed
    • Legal theories
      • Securities Exchange Act claims
      • Securities Act claims
    • Common factual scenarios
      • Overstated opportunity cases
      • Understated financial impact cases
        • Decline in demand for companies’ goods and services
        • Disruption of operations (plant outbreaks, supply chain impeded)
        • Timing of impairment charges
      • Types of industries
  • Early case returns

Date & Time:

Thursday, April 15, 2021

12:00 pm to 1:30 pm (ET)

Who Should Attend:

  • Securities Litigation Lawyers
  • General Counsel
  • Risk and Compliance Officers
  • Litigation Officers
  • Top Level Management
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Michael J. McConnellPartner
Jones Day
Adam KarageorgeAssociate
The Brattle Group
Adrienna HuffmanAssociate
The Brattle Group



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