BLB&G Partner Jim Harrod to Serve as Panelist at PLI Program, “Securities Offerings 2023: A Public Offering From Start to Finish”

October 18, 2023


On October 23, 2023, BLB&G Partner Jim Harrod will speak at PLI’s comprehensive educational event, “Securities Offerings 2023: A Public Offering From Start to Finish.” Along with fellow panelists, Jim will speak on “Ethics, Due Diligence and the Offering Process,” examining ethical issues which may arise during the due diligence and offering processes. Participants will come away with the ability to:

  • Recall professional liability provisions and remedies under the Securities Act (MRPC 1.13)
  • Recognize the importance of ethics in due diligence in the offering process, including comfort letters, 10b-5 statements and in-house counsel considerations (MRPC 4.1)
  • Understand the role of participants in the offering process, including avoiding ethical pitfalls (MRPC 4.1)
  • Spot ethical issues in the underwriting process: Lawyers as gatekeepers (MRPC 1.6)

PLI’s program for all levels will simulate a public offering in its entirety, from the initial kickoff meeting, to understanding how the law translates into the mechanics of doing an offering, to working with the SEC and applicable stock exchange, to the closing dinner. Attendees will learn about the preparation of registration statements, the SEC review and comment process, stock exchange listing, and pricing mechanics. The course will also highlight “hot” topics in the current environment.

Jim Harrod has two decades of experience prosecuting complex litigation in federal courts. Jim also leads the firm’s Global Securities and Litigation Monitoring Team, which monitors securities class and group actions around the world, and advises BLB&G’s institutional clients on potential avenues for recovery in those actions. He has been recognized by various publications for his work, including most recently being named one of Lawdragon’s “500 Leading Plaintiff Financial Lawyers.”