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The 7th Annual eDiscovery Training Academy:

The Intersection of Law and Technology

GEORGETOWN LAW

C O N T I N U I N G L E G A L E D U C AT I O N

G E O R G E T O W N U N I V E R S I T Y L A W C E N T E R | W A S H I N G T O N , D C

CLE

27.0 CLE credit hourshour), including 1.2 hours of ethics (based on a 60-minute credit hour), including 1.0 hours of ethics / 32.4 CLE credit hours (based on a 50-minute credit

JUNE 1–6, 2014

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A Unique Learning Experience

The Academy’s week-long, technology-focused curriculum will fully immerse you in the subject of eDiscovery. The Academy features a highly personalized and interactive instructional approach designed to foster an intense connection among students, and a renowned faculty including Craig D. Ball, Maura R. Grossman, Thomas O’Connor, and Mark S. Sidoti. Magistrate Judge John M. Facciola will provide additional guidance from a judicial and pragmatic point of view.

Experts developed the Academy to provide a challenging and rewarding experi-ence that will lead to a comprehensive understanding of the discipline. It is demand-ing, but could prove to be one of the most exciting and successful learning experi-ences you’ve had in years.

Nine Special Benefits

of The Academy:

1. Our faculty will be with you throughout the week, with judges participating regularly.

2. The experts teaching the Academy also developed the curriculum.

3. Faculty members include several of the leading eDiscovery experts in the United States.

4. You will have the benefit of advance reading assignments to better prepare you prior to the start of the Academy. 5. You will observe and participate in

demonstrations of critical eDiscovery processes.

6. Use your own laptop to participate in hands-on exercises designed to increase your knowledge and learning. 7. Participate in a “meet and confer”

capstone exercise at week’s end to cement your learning.

8. Create lasting networking relationships with colleagues from across the country.

9. Receive a Certificate of Completion at the week’s end.

Learn-by-Doing Approach

During the Academy, you will be essentially an apprentice: observing closely, questioning thoroughly, and intimately understanding the approach and knowledge of experts in the craft. From the exploration of decisional law with federal judges, to the understanding of specialized technology, data sources, and the mysteries of computer systems, the topics addressed in this course will put you head and shoulders above the competition.

To allow optimum interactivity, the Academy is limited to 60 participants, so please register as soon as possible. Come prepared to accept the academic chal-lenge and to view your future—and digital information—from a new perspective.

What You Will Learn and How

It Will Benefit You in Your Job

technology-assisted review, quality assurance, sampling, “legal hold” analysis, the use of Federal Rule of Evidence 502 to minimize the risks of inadvertent disclo-sure, attorney-client privilege, work product and limitations on waiver, and analyses of cost allocation, proportionality, and “not reasonably accessible” issues.

This demanding and fulfilling program will help position you for leadership in the field of eDiscovery. The Academy will offer a wealth of information on the subject of eDiscovery and will foster your ability to make well-informed, pragmatic, and cost-effective decisions. You will also learn how to communicate those decisions effectively to your clients and colleagues, thereby helping to alleviate fear and skepticism.

During the Academy, you will address the full scope of the practice of eDiscovery. The teaching modules will explore the broad spectrum of strategic, legal, and technical aspects of this complex field. The Academy has been uniquely designed by technical and legal experts, and will place significant emphasis on the nexus between technology and the law—a topic too often ignored in traditional CLE programs. The program includes hands-on practice with tools and data at your computer, organized into exercises designed to help you become more comfortable and adept with both the fundamentals and intricacies of electroni-cally stored information.

You will also examine the latest legal issues affecting eDiscovery. These include:

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Agenda

Sunday, June 1

12:30–1:00 pm Registration 1:00–1:15 pm Welcoming Remarks

Lawrence J. Center, Assistant Dean

Georgetown University Law Center

1:15–1:45 pm Academy Overview

During this introductory session, our faculty will review its expectations and outline the value of technical fluency in information systems as a core litigation skill. The focus will be on challenging you to help improve the competency of legal professionals in applying IT concepts to legal issues. This session will include an overview of the week’s class objectives, faculty introductions, opening comments, introduction of class materials, a computer software orientation, and a pre-assessment to gauge your preliminary understanding of IT and eDiscovery concepts.

Learning Objectives

» Learn to discuss the principal compo-nents in a business information-systems environment, including the operation and role of storage devices, desktop machines, portable devices, mail and file servers, networking, file shares, collaboration tools, and backup. » Familiarize yourself with file systems,

including the file types and locations that comprise the most common sources of discoverable ESI. » Be able to identify and distinguish

between the principal forms of meta-data, as well as recognize the types and evidential significance of particular meta-data fields associated with the most common sources of discoverable ESI. » Learn the critical questions to ask the moment a new matter arises, and how to take the lead in a defensible ESI preservation protocol. You will know enough about the computing environ-ment to gauge its parameters, interro-gate users and IT personnel about the principal sources, and design, communi-cate, and implement a sound, cost-effective ESI preservation effort for a small to midsize business.

» Achieve the proficiency necessary to take the lead and act as skilled advisor to counsel in the Rule 26(f) process. This responsibility encompasses both propounding and defending against eDiscovery, and demands you gain the requisite knowledge of sources, accessibility considerations, project costs, and realistic schedules to enter into binding production agreements concerning preservation, collection, sampling, deduplication, search, and forms of production.

Who Should Attend:

» In-house and outside counsel

» Government counsel and support staff

» Practice and litigation support professionals

» IT and system specialists

» Corporate executives

Special Learning Tools

» You will receive specific readings prior to the Academy to ensure you are up to date on requisite ideas and knowledge, and will be asked to read material each evening to prepare for the next day’s sessions.

» You will participate on a team through-out the week, culminating in a Mock Rule 26(f) presentation before a leading U.S. Magistrate Judge on Friday. » You will take a pre-assessment and a final

exam to measure your learning progress.

1:45–2:45 pm

Perspectives on eDiscovery: The Promise and Challenge of Electronic Evidence

Hon. John Facciola, Craig D. Ball Judge Facciola and Craig Ball will lead a discussion of what has happened in eDiscov-ery in the past 10 years, focusing on what issues seem to have faded into insignificance and what issues are proving intractable. They will discuss where the greatest expense in eDiscovery lies, the levels of competence encountered, and whether the federal judiciary has been equal to the new tasks imposed upon it. The emphasis will be on the kind of practical solutions lawyers and technicians will have to create if there is to be genuine movement forward.

2:45–3:00 pm Networking Break

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3:00–4:00 pm

“Meet and Confer” Demonstrations

All Faculty

One of the most important outcomes of eDiscovery planning and preparation is a productive “meet and confer” conference. These 26(f) conferences are so important that the Academy’s final day is devoted to mock “meet and confer” conferences before sitting federal judges. On this first day of the Academy, you will learn how to participate effectively in a “meet and confer” conference by observing members of the faculty having a conference before a judge, hearing them analyze their strategies, and questioning both judge and lawyers. You will be divided into teams and each team will be given separate issues to discuss.

4:00–5:00 pm

Realizing Your Goals for the Academy

All Faculty

Each member of the faculty will describe his/ her goals for the Academy and explore with you what you can expect to achieve. There will be a frank discussion of your traditional training to date and an exploration of how the Academy can lead you to what you want to accomplish by the week’s end.

5:00–6:30 pm Networking Reception

Monday, June 2

8:00–8:30 am Continental Breakfast 8:30–9:15 am Academy Pretest 9:15–10:45 am

Introduction to Electronically Stored Information

Craig D. Ball

Review the most important fundamentals of information sources and storage. You will learn how data is encoded and stored, the terminology used to describe storage, the fundamental functions of computer file systems, and why deleted data is not gone. During this session, and again in succeeding days, you will engage in hands-on exercises to

better understand how information technol-ogy devices and systems function, and how unique characteristics of electronic informa-tion fundamentally impact the complexity and cost of electronic discovery. These exercises will change the way you see data and enable you to become more comfortable with and insightful about ESI. The faculty will also discuss data mapping, cryptographic hashing, binary file signatures, computer forensics, forensically sound preservation and dedupli-cation, de-NISTing, and near-deduplication of ESI. You will emerge with an appreciation of the variety and variability of electronic evidence and digital storage media. 10:45–11:00 am

Networking Break 11:00 am–12:00 pm

Introduction to Electronically Stored Information (Continued)

Craig D. Ball

12:00–1:00 pm Lunch (on your own) 1:00–2:00 pm

Horizons: Fresh Perspectives on a Wired World

Hon. John M. Facciola

Judge Facciola will take a case he decided several years ago and explain its history, the decisions he made, and their consequences. He will then lead the class in a discussion of what he did or failed to do, and whether the approach he took several years ago makes any sense in the present world. There will be a frank discussion of proportionality, expense allocation, and privilege concerns and the time and expense it took to resolve them.

2:00–2:45 pm

Introduction to Electronically Stored Information (Continued)

Craig D. Ball

2:45–3:00 pm Networking Break 3:00–4:00 pm

Introduction to Electronically Stored Information (Continued)

Craig D. Ball

4:00–4:45 pm Judicial Perspective

Hon. John M. Facciola

Judge Facciola will provide his perspective on the day’s sessions.

4:45–5:30 pm

“Meet and Confer” Team Meetings Students will have the opportunity to meet with their “meet and confer” teams and coaches.

Tuesday, June 3

8:00–8:30 am Continental Breakfast 8:30–9:00 am Review

You will start Day Three with further discussion of IT and legal topics to complete and review the discussion of ESI forms and fundamentals. Then, we will move to

consideration of primary sources of responsive ESI, including understanding the “Big Four Sources of Enterprise ESI” and metadata. 9:00–10:30 am

Technological Issues: Forms of Production

Craig D. Ball

During this session, you will review forms of production and the suitability of native forms and imaged forms, including discussion of the purposes and limitations of load files and cost considerations in selecting forms of production.

10:30–10:45 am Networking Break 10:45 am–12:00 pm Mail Systems, Backup Systems, and Databases

Craig D. Ball

Since email has become one of the primary and essential means of communication for most businesses and individuals, it is vital to examine how it works and is structured and stored. In this session, Craig Ball will examine the anatomy of an email and how that structure impacts issues of search and forms of production. You will explore the principal

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email methodologies and protocols such as SMTP, POP, and webmail, and their role in eDiscovery, as well as analyze container file formats. Popular email software programs will be discussed and the different considerations for identifying, collecting, and processing email will be assessed. You will also explore backup methods and media, and rotation, as well as management and restoration of backup media.

Databases are one of the most frequently sought-after and disclosed sources of elec-tronic information. They often hold the primary information and knowledge of a business. We will focus on what they are and their different business applications. You will learn how they are structured, what query language is, and what the eDiscovery considerations are, including data dictionaries, schemata, report generation, direct access, and export formats.

12:00–1:00 pm Lunch (on your own) 1:00–1:30 pm

Horizons: Fresh Perspectives on a Wired World (Continued)

Hon. John M. Facciola

What happens when a company, sick of the costs of eDiscovery, adopts a draconian policy for its records and demands that a vendor take entire control of all collection and manage-ment of data sought in discovery? What does counsel do and say?

1:30–2:30 pm

Spoiled and Deluded: Ugly Truths about Electronic Search

Craig D. Ball

Keyword search is the gold standard in electronic discovery, but how well does it work? You may be surprised. This session will open your eyes to what you’re missing in ESI and reveal the pitfalls of electronic search. You’ll also learn tips you can apply now to significantly improve the quality of search and lower the cost of eDiscovery.

2:30–2:45 pm Networking Break 2:45–3:45 pm

Technology-Assisted Review and Enhanced Search

Maura R. Grossman

We will now turn our attention to advanced electronic search—specifically, Technology-Assisted Review (TAR)—by addressing the methods and misconceptions surrounding this all-important approach. We will discuss methods to measure and improve the quality of search. You will explore emerging tools, sampling, and protocols. You will learn about the metrics of search and ways to enhance the search process, as well as the importance of quality assurance and control.

3:45–4:45 pm

The Courts and Predictive Coding: Where Are They and Where They Are Going

Hon. John M. Facciola, Craig D. Ball, Maura R. Grossman, and Mark S. Sidoti From 2012 to early 2014, there have been approximately 10 opinions on predictive coding. While the questions of whether you may—or must—use Technology-Assisted Review (TAR) seem to have been resolved, at least as an initial matter, the level of transpar-ency, cooperation, and collaboration required, and the type and amount of statistical validation required, are still open questions. This session will critically examine which direction the law is taking on TAR. 4:45–7:00 pm

“Meet and Confer” Coaching Session* “Meet and confer” teams will collaborate to prepare for Friday’s mock 26(f) confer-ence. You will receive tips from expert practitioners, including members of the Academy faculty and outside experts brought in solely to coach you toward an excellent outcome. Come prepared with your questions and concerns, and be ready to plan for a mock 26(f) conference with your opposing counsel.

*Please note that dinner will be served.

Online CLE from

Georgetown

Now you can also benefit from the Georgetown Law CLE experience at your convenience online. You will learn from the country’s leading officials, judges, and practitioners in the comfort of your own office, in a format that is conducive to your own learning style. Other online courses we offer include:

» Antitrust » Bankruptcy » Corporate » Cybersecurity » eDiscovery » Ethics

» Hotel and Lodging

» International Trade

» Nonprofit/Tax-Exempt Organizations

» Patent

» State and Local Tax

For more information, visit our website at:

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Wednesday, June 4

8:00–8:30 am Continental Breakfast 8:30–9:00 am Review

During this time, students will participate in a review session, focusing on Tuesday’s learning. 9:00–10:15 am

Preservation

Mark S. Sidoti

Preservation is one of the most critical elements of the eDiscovery process, and one which touches upon virtually all aspects of an enterprise. In this session, you will examine the entire preservation process, including why digital preservation is so different from paper preservation and when the obligation arises. You will learn how to conduct the initial client interview and explore preservation in the cloud. Finally, you will have the opportunity to practice drafting and answering a demand letter, two of the key tasks associated with preservation.

10:15–10:30 am Networking Break 10:30 am–12:00 pm Sanctions

Hon. John M. Facciola, Mark S. Sidoti The courts have issued an unprecedented number of sanctions based on the spoliation of ESI. This session will focus on the elements required to establish the spoliation of ESI, including culpability and relevance. You will discover that the court’s authority to issue sanctions is derived from its inherent authority and several civil procedure rules. We will also focus on types of sanctions, including an adverse inference instruction, monetary awards, and criminal penalties including jail. 12:00–1:00 pm

Lunch (on your own)

1:00–1:45 pm

Horizons: Fresh Perspectives on a Wired World (Continued)

Hon. John M. Facciola

In the company you represent, chaos reigns. Everybody has his or her own electronic device. There are Twitter and Facebook accounts, Instagram, Vine, and God knows what else used for both business and personal purposes. You are now put in charge of creating a records management process. What will you do?

1:30–2:30 pm The Collections Process

Hon. John M. Facciola, Mark S. Sidoti, Maura R. Grossman

The all-important collections process involves the legal concept of relevance and its definition under Rule 26 of the FRCP. Together, we will examine the significance of the amendments and changes to Rule 26 as applied to electronic discovery. You will review objections to discovery, the necessity of a specific showing, cost shifting under the federal rules, and the payment of costs after judgment. You will review the formats of production, discovery from third parties, cross-border discovery, and the rules address-ing privilege. You will receive a detailed analysis of critical Rule 502 and address problems that remain despite that rule. You will address real cases handled by Judge Facciola to learn how the knowledge you are gaining is applied in the courtroom. 2:30–2:45 pm

Networking Break 2:45–3:45 pm Ethics

Hon. John M. Facciola, Mark S. Sidoti, Maura R. Grossman

Electronic discovery raises unique issues for the practicing lawyer. This section will discuss (1) the duty of competence with particular emphasis on the 2012 amendments to comments to Rule 1.1; (2) mining metadata and ABA Formal Opinion 06-442; (3) negotiating, meeting, and conferring and Rule 4.1; (4) hiring vendors and Rule 5.3; (5) Rule 3.3, candor to the tribunal, Rule 3.4, and

Federal Rule of Civil Procedure 26 (g); and (6) Rule 3.4 and the receipt of apparently privileged information from an adversary in discovery or otherwise.

3:45–4:30 pm

Practicum: Anticipating the Future

All Faculty

During this practicum you will be encouraged to anticipate the future and how all that you have learned will be affected by technology and amendments to the Federal Rules. You will apply learned principles to specific scenarios and then explore the ways eDiscov-ery may be affected by anticipated future developments.

4:30–6:00 pm

“Meet and Confer” Team Meetings Students will meet with their “meet and confer” teams and coaches.

Thursday, June 5

8:00–8:30 am Continental Breakfast 8:30–9:00 am Review

During this time, students will participate in a review session, focusing on Wednesday’s learning.

9:00–10:30 am

Evidence: Authentication and Admissibility

Hon. John M. Facciola, Craig D. Ball, Tom O’Connor, and Mark S. Sidoti This session will address a variety of topics related to the authentication and admissibility of ESI, starting with different schools of thought concerning ESI and the rules of evidence. Next, you will explore the issue of authenticity, including Rule 901, and

specifically how to authenticate ESI. Then, the faculty will explore issues of hearsay and ESI including the fundamental definitions of hearsay. Finally, we will wrap up with an exploration of the future of the rules of evidence in an increasingly robotic world.

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10:30–10:45 am Networking Break 10:45 am–12:00 pm eDiscovery: Small Cases and Small Budgets

Craig D. Ball, Tom O’Connor

The evidence in small cases is digital, too; however, small cases often mean small budgets. Firms and agencies handling smaller cases often lack the tools and talent required to tackle eDiscovery in-house, and the budgets needed to hire vendors and consul-tants. Our faculty will offer solutions to this “Small Case Dilemma.”

12:00–1:00 pm Lunch (on your own) 1:00–1:45 pm

Horizons: Fresh Perspectives on a Wired World (Continued)

Hon. John M. Facciola

The same company decides to hire a data broker to accumulate all data about its employees without their knowledge. Using predictive analytics, the company will then identify those employees who are likely to leave to go to work for a competitor or engage in behavior that might embarrass the company. Your views are sought on the legality and wisdom of such a policy. 1:45–2:45 pm

Privacy

All Faculty

The connection between the judicial system’s goal of privacy and the proliferation of ESI is a complex one. During this session, you will review the leading cases on disclosure to a third party and its consequences, the various forms of privacy and their relationship to ESI, and how new forms of communication like Twitter and Instagram are protected by the Stored Communications Act. You will learn about the protection of the liberty of locomotion and the latest cases on GPS tracking, a new form of government surveil-lance made possible by our current technology.

2:45–3:00 pm Networking Break 3:00–4:00 pm ESI Beyond the Civil Case

Hon. John M. Facciola

ESI is most commonly associated with civil cases by lawyers and technologists alike. However, its implications are far broader within our justice system. During this session, you will explore ESI and the many facets of governmental investigations, including governmental subpoenas and defenses to them, the government as demanding party and as defendant, and the government as possessor of information. You will also examine ESI in criminal cases, including the many Fourth and Fifth Amendment ramifications.

4:00–7:00 pm

“Meet and Confer” Coaching Session* “Meet and Confer” teams will meet with opposing counsel to iron out issues and agree on aspects of an eDiscovery plan. Can you reach common ground with your adversaries? Can you draft a plan to present to the judge that minimizes conflict and disagreement? During this session, you will once again confer with the faculty and coaches who will work with your team and lawyers on the other side as you prepare your case.

*Please note that dinner will be served.

Friday, June 6

8:00–8:30 am Continental Breakfast 8:30–9:00 am Review

During this time, students will participate in a review session, focusing on Thursday’s learning. 9:00–9:45 am Final Examination 9:45–10:00 am Networking Break 10:00 am–1:00 pm Mock 26(f) Conference Judicial Faculty

Teams will take part in a mock 26(f) confer-ence before judicial faculty. Each team will be charged with responsibility for one aspect of the case being used as a hypothetical. Our expert faculty will observe and offer tips and feedback. 

1:00–2:00 pm Lunch (on your own) 2:00–3:30 pm

Judicial Roundtable: Putting the Judges on the Spot

Judicial Faculty

In this session, the judges will provide an overview of what they would expect of you when you appear in court before them, now that you have finished this course. In turn, you can ask the judges any question about what you have learned, including tough questions on how to handle judicial responses to counsel that may display indifference or a lack of understanding of the issues.

Downloadable

course materials

To better serve you, all course materials will be provided to you electronically prior to the program. Downloadable course materials are easily transportable, environmen-tally friendly, and tablet-friendly.

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Location

Georgetown University Law Center

Hotung International Law Building 550 First Street NW, Washington, DC 20001

Hotel Reservations

Please take advantage of Georgetown Law’s corporate rate at three nearby hotels, using the information below to make your reservation.

Hyatt Regency Washington on Capitol Hill

400 New Jersey Avenue NW, Washington, DC 20001

(202) 737-1234 or (800) 233-1234

When calling for reservations, please ask for Corporate Number 58549.

http://bit.ly/HyattHill

The Liaison Capitol Hill, An Affinia Hotel

415 New Jersey Avenue NW, Washington, DC 20001

(202) 638-1616

When calling for reservations, please use the corporate code GEORGE.

http://bit.ly/TheLiaison

The Hotel George

15 E Street NW, Washington, DC 20001

(202) 347-4200 or (800) 576-8331

When calling for reservations, please use the Georgetown Law Rate Code GUL.

http://bit.ly/HotelGeorge Group Discounts

Group discounts are available for companies registering three or more attendees. Please contact us directly for more information. Call (202) 662-9890 or email

cle@law.georgetown.edu.

Disclaimer

Speakers are subject to change.

Special Needs or Dietary Restrictions

Call (202) 662-9890 or email cle@law.georgetown.edu.

Scholarships

Georgetown Law CLE makes every effort possible to provide equal educational opportuni-ties to all. We offer a limited number of scholarships on a case-by-case basis. Apply online at www.law.georgetown.edu/cle or submit your written request no later than 5:00 pm ET on Friday, May 9, 2014 to:

Scholarship Committee

Georgetown Law CLE 600 New Jersey Avenue NW Washington, DC 20001

email to cle@law.georgetown.edu

Cancellations/Rain Checks/ Substitutions

Please fax your cancellation notice to (202) 662-9891 or email to cle@law.georgetown.edu by 5:00 pm ET on Friday, May 23, 2014 for a refund (less $250 administrative fee). Rain checks for a future program will be granted for cancellations received after May 23, and prior to the start of the program. Substitutions are accepted at any time prior to the program.

Participation

The Academy is designed to provide you with a high level of interaction with the faculty and fellow Academy participants. In order to assure a hands-on learning experience, class size has been limited to 60 participants with mandatory attendance at all sessions.

Satisfaction Guarantee

We are confident that you will leave this conference with more than enough ideas and insights to make your investment pay off. However, if you feel you have not received your money’s worth by the end of the program, please contact a member of our registration team before leaving the conference. All refund requests will be reviewed carefully and are subject to approval by the Assistant Dean.

CLE Credits

Accreditation has been or will be requested for this program from states with mandatory continuing legal education requirements for 27.0 CLE credits (based on a 60-minute hour), including 1.0 ethics credit; and 32.4 CLE credits (based on a 50-minute hour), including 1.2 ethics credit. Georgetown University Law Center is an accredited CLE provider in most MCLE states. Georgetown Law CLE is a State Bar of California-approved MCLE provider. Some states require nominal accreditation fees. You will be asked to submit payment at the program’s conclusion.

Dress Attire

Our suggested dress for this program is business casual. Meeting room temperatures may vary, so we suggest bringing a sweater or light jacket.

Laptop Requirement

All attendees are required to bring their own laptop for use during the Academy. Either PCs or Macs are fine as long as the laptop is enabled for wireless Internet access, which will be available.

Academy Details

Planning Committee

Hon. John M. Facciola

Magistrate Judge, U.S. District Court for the District of Columbia, Washington, DC

Craig D. Ball

Craig D. Ball, P.C., Austin, TX

Maura R. Grossman

Wachtell, Lipton, Rosen & Katz, New York, NY

Thomas O’Connor

Gulf Coast Legal Technology Center, New Orleans, LA

Mark S. Sidoti

Gibbons, P.C., New York, NY

Judges

Hon. John F. Anderson

Magistrate Judge, U.S. District Court for the Eastern District of Virginia,

Alexandria, VA

Hon. Francis M. Allegra

Judge, U.S. Court of Federal Claims, Washington, DC

Hon. Lynn Leibovitz

Associate Judge, Superior Court of the District of Columbia, Washington, DC

Hon. Robert D. Okun

Associate Judge, Superior Court of the District of Columbia, Washington, DC

Coaches

Mark L. Austrian

Kelley Drye & Warren LLP, Washington, DC

William Butterfield

Hausfeld LLP, Washington, DC

Conor R. Crowley

Crowley Law Office, McLean, VA

Gilbert S. Keteltas

BakerHostetler, Washington, DC

Patrick L. Oot

U.S. Securities and Exchange Commission, Washington, DC

John J. Rosenthal

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