Conference on Life Insurance and Financial Services Litigation - CLE, Continuing Legal Education - ALI
Conference on Life Insurance and Financial Services Litigation
  • 18th Annual Advanced ALI CLE Conference
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Shipped to you: Printed Coursebook | MP3 CD-ROM | DVD Video

Available Online: Online CLE | MP3 Audio Files | Coursebook

ALI CLE would like to thank our sponsor:

ALI CLE would like to thank our sponsor:

Why You Should Attend


Don’t miss the premier annual conference on litigation involving the life insurance and financial services industry. The conference focuses on litigation arising from changes in the marketing, sale, and administration of financial and insurance products, including annuities, life insurance, variable products, retirement plan contracts, mutual funds, health insurance, disability insurance, long term care, and other consumer and commercial financial and insurance products.


Recent presentations have focused on the latest litigation developments affecting financial services and products, but this year — to satisfy a demand for advanced skills — the conference focuses on best practices in litigation with analyses from judges, regulators, and experienced counsel. Using facts from a typical case, our faculty of legal experts discusses the strategy and actions for successful management of financial service and product investigations and civil litigation.


This year's hypothetical case will detail the issues at the intersection of regulatory investigations and litigation arising from a "whistleblower's" allegation of inadequate disclosure and flawed contract language in the sale and distribution of an insurance/annuity product.


Mock trial presentations bring case strategies to life! Followed by commentary from our faculty of judges and seasoned litigators, the mock presentations will cover:

opening arguments

motions to dismiss

discovery motions

direct and cross examination of experts and class representatives

closing arguments

Time is reserved throughout the program to address written questions submitted by the registrants.

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What You Will Learn

Panels of federal judges, regulators, and experienced trial lawyers lead discussion and analysis of the key issues in the early phases of insurance and financial service litigation, including:

possible causes of action

regulatory actions and collateral consequences of settlement

investigations and related privilege and waiver issues

document preservation, including scope and timing issues

business actions: sales, contracts, other matters

coordinating regulatory enforcement with litigation

what to do when the Complaint is filed

early stages of discovery

TAD (Technology Assisted Discovery), proportionality, preservation and careful steps for saving money and time

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Planning Chairs

James F. Jorden, Jorden Burt LLP, Washington, D.C.

James R. Carroll, Skadden, Arps, Slate, Meagher & Flom LLP, Boston

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Scott G. Bowman, Vicee President, Chief Litigation and Regulatory Counsel, Allianz Life Insurance Copany of North America, Minneapolis

Paul S. Diamond, Judge, U.S. District Court, Philadelphia

Paul L. Gallagher, Vice President and Counsel, Litigation and Employment Law, John Hancock Financial Services, Manulife Financial Corp., Boston

Susan K. Gauvey, Magistrate Judge, U.S. District Court, Baltimore

Laura Leigh Geist, Dentons US LLP, San Francisco

Robert S. Gianelli, Gianelli & Morris, L.C., Los Angeles

Maura R. Grossman, Wachtell Lipton, Rosen & Katz, New York

Scott T. Lashway, Vice President and Assistant General Counsel, Head of Investigations, MassMutual Financial Group, Springfield, Massachusetts

W. Daniel Miles, III, Beasley, Allen, Crow, Methvin, Portis & Miles, P.C., Montgomery, Alabama

Julianna Thomas McCabe, Jorden Burt LLP, Miami

Robert D. Phillips, Jr., Reed Smith LLP, Los Angeles

Richard J. Sullivan, Judge, U.S. District Court, New York

Stephen J. Toretto, Vice President and Chief Litigation Counsel, Pacific Life Insurance Company, Newport Beach, California

David J. Waxse, U.S. Magistrate Judge, Kansas City, Kansas

ALI CLE Program Attorney: Thomas M. Hennessey (

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Program Schedule


7:30 a.m. Registration and Continental Breakfast

8:25 a.m. Welcome and Announcements - ALI CLE Staff
Video Webcast Segment A

8:30 a.m. Opening Remarks; Presentation of the Hypothetical Case - Messrs. Carroll and Jorden

8:45 a.m. Scoping the Problem
   •  Outlining the Issues; Possible Causes of Action
   •  Parallel Proceedings
   •  Possible Legal Theories and Traps for the Unwary
   •  Mock Argument on Motion To Dismiss
   •  Open Forum: Panel Comments and Responds to Participants

10:00 a.m. Networking and Refreshment Break

10:15 a.m. First Step Management
   •  Scope of Discovery and Changing Federal District Court Rules
   •  Preservation and Spoliation; Common Law Standards or Federal Rules on the "Duty to Preserve"
   •  Mock Argument on Defendant's Motion for TAD (Technology Assisted Discovery)
   •  Mock Argument on Spoliation-Motion and Opposition

   •  Open Forum: Panel Comments and Responds to Participants

12:15 p.m. Lunch Break
Video Webcast Segment B

1:30 p.m. Mock Trial: Expert Examinations and Class Member Examinations
   •  Direct and Cross Examination of an Expert
   •  Direct and Cross Examination of a Class Member
   •  Open Forum: Panel Comments and Responds to Participants

3:30 p.m. Networking and Refreshment Break

3:45 p.m. Mock Trial: Opening and Closing Arguments
Open Forum: Panel Comments and Responds to Participants

5:45 p.m. Adjournment for the Day; Reception for Faculty and Registrants

Total 60-minute hours of instruction: 7.5 hours, including at least one full hour on ethics and professional responsibility issues, accepted as such by most, but not all, MCLE jurisdictions.

Suggested Prerequisite: Limited experience in legal practice in subject matter or completion of Basic CLE Course in subject matter

Educational Objective: Acquisition of knowledge and skills to develop proficiency as a practitioner; maintenance of professional competence as a practitioner; provision of information on recent legal developments; development of proficiency in performance of intricate and complex legal tasks within a narrow area

Level of Instruction: Advanced

Click Here for MCLE Credit Information

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Here's what registrants have said about this course:


"Perfect for the experienced practitioner who wants an in-depth discussion from veterans with high level experience, both plaintiff and defense, and the speakers’ candor is refreshing." — Forrest Laita, Burr & Forman LLP



"This course is the only course that I attend every year. There is always a well prepared faculty with critical updates for those who practice in this area."



"I have attended this course many times over the years. It remains the very best. Jim Jorden continues to make the topics current and the panelists are excellent."


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All Times are Eastern

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Course Details

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