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Event Details

Ethical Issues in Litigation Finance - Live & Webcast

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Friday, September 15, 2017
12:00 PM - 1:00 PM Eastern Daylight Time

Ethical Issues in Litigation Finance

Friday, September 15, 2017
New York Society of Security Analysts
1540 Broadway, Suite 1010
New York, NY 10036
Entrance on 45th Street
12:00 p.m. - 1:00 p.m.
1.0 MCLE Credits: 1.0 Ethics

Who Should Attend
Both new and experienced attorneys will benefit from attending this program 
Program Chair and Presenter
James Batson, Esq. | Bentham IMF | New York City
Program Description
Cost often weighs as one of the most significant deterrents to pursuing a commercial case through trial for attorneys, firms, and the parties to a lawsuit. Litigation finance has become an increasingly prominent means of helping parties who deserve their day in court bear the financial burdens of litigation. However, the interplay between funding and attorney ethics requirements have engendered spirited debate about how and when third party funding of litigation is appropriate. Issues including whether a funder’s investment impacts an attorney’s duty to use independent professional judgment, avoid conflicts of interest and protect the attorney-client and work product privileges are all central themes in the debate. Recent developments have even led courts to engage in the discussion, with the Northern District of California deciding in January 2017 to require disclosure of funder involvement in class actions.
In this program, participants will learn how to use litigation funding to access the resources they need to pursue meritorious commercial litigation claims. Like any business, law firms must manage their financial risks. While they may see the merits in a case and feel confident in their ability to achieve a victory for the client, they may not have the appetite to take it on a contingency basis. Clients may be equally averse to assuming the high costs of litigation. Even if they have sufficient capital resources, they may not want to bear the financial burden of paying to pursue a case through trial. Appeals can cause even more financial strain. It’s important to understand the ways in which attorneys, law firms and clients can avail themselves of financial assistance from litigation funding companies without running afoul of legal ethics rules.
The discussion will focus on the intersection of litigation finance and the applicable Rules of Professional Responsibility, as well as the basic principles of litigation funding. A detailed appendix will be provided containing the ethics opinions and additional content discussed during the program.

Please click here to view the program flyer. 

About the Speaker
James Batson is a Senior Investment Manager and Legal Counsel at Bentham IMF, a publicly traded litigation funder. Jim is one of the most experienced professionals working in litigation funding in the United States. In addition to having spent two years with Bentham IMF, Jim formerly held roles as Chief Operating Officer for Fulbrook Capital Management and Consultant for Lumius Capital LLC. 
He possesses 20 years of experience as a trial lawyer with a prestigious plaintiff’s law firm that brought cases on a contingent-fee basis. An accomplished litigator, Jim tried cases in federal and state court and before the American Arbitration Association, JAMS, FINRA and the Chicago Board of Trade. He also handled regulatory proceedings before the SEC, the NYSE and FINRA.
Jim is a leader in the field of case management, including being a member of the United States District Court for the Southern District of New York’s Advisory Groups’ Pilot Project regarding Case Management Techniques for Complex Civil Cases, and lead counsel in the famous case of Zubulake vs. UBS Warburg, which resulted in five seminal opinions by the United States District Court for the Southern District of New York addressing a company’s duty to preserve documents and emails.
Jim received a B.A. in Economics and English from Cornell University, a J.D. from Fordham University School of Law, and an M.B.A. from Fordham University School of Business.

11:30 a.m. – 12:00 p.m.
12:00 p.m. – 12:10 p.m.
Welcome and Introduction
Jim Batson, Esq.
12:10 p.m. – 1:00 p.m.
Ethical Implications of Litigation Finance
Jim Batson, Esq.
·         Gain an understanding of the evolution and foundations of litigation finance;
·         Learn how litigation finance and attorney ethics intersect;
·         Review existing ethics decisions and other authoritative materials on the subject, including the American Bar Association’s Commission on Ethics 20/20 Informational Report on Alternative Litigation Finance and the New York City Bar Association Commission on Professional and Judicial Ethics, Formal Opinion 2011-2)(2011); and
·         Learn how litigation financing can be ethically integrated into every step of litigation strategy (including on appeal)
(1.0 MCLE Credit in Ethics)
1:00 p.m.

NYSBA Members: $75
Commercial and Federal Litigation Section Members: $60

Non Members: $175

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Interested in registering more than one attorney?
Three or more registrations from the same firm/organization are eligible for our 20% Group Discount
Note: Pre-registration Strongly Advised: You can save money and guarantee your seat and course materials by registering early. Registrations received at the door are subject to an additional $15.00 registration fee. Registrations cancelled less than three days from the program date will be assessed a cancellation fee of $25.00.
Reg: 11:30 a.m. Program: 12:00 p.m. - 1:00 p.m.
This program provides TRANSITIONAL credit to all attorneys. For information about New York MCLE requirements, visit www.nycourts.gov/attorneys/CLE IMPORTANT NOTICE--PARTIAL CREDIT FOR PROGRAM SEGMENTS NOT ALLOWED: Under the New York State Continuing Legal Education Board Regulations and Guidelines, attendees at CLE programs cannot get MCLE credit for a program segment (typically, a lecture or panel, of which there are usually several in a program) unless they are present for the entire segment. Those who arrive late, depart early, or are absent for any portion of the segment WILL NOT receive credit for that program segment.
New York Society of Security Analysts
1540 Broadway
New York, NY 10036
Online Registration has closed, to register please contact the Member Resource Center at 1-800-582-2452