Session Description

Description Written Materials PowerPoint Session Track
AM-00 - President's Welcome
Andrew Stoltmann
Date/Time: 
10/10/2018 - 8:30am to 10/10/2018 - 8:45am
Room: 
Calusa EFGH

Andrew Stoltmann will welcome all attendees to the 2018 PIABA Annual Meeting.

Plenary
AM-01 - NASAA Report & Roundtable
Christine Lazaro, Joseph Borg, Irving Faught, Craig Goettsch

This session highlights recent and current NASAA initiatives, including those relating to investor arbitration in Congress, the SEC, and FINRA.

Plenary
AM-02 - Review of FINRA DR Activities and Developments in 2018
Andrew Stoltmann, Richard Berry, Carolann Gemski
Date/Time: 
10/10/2018 - 9:45am to 10/10/2018 - 10:45am
Room: 
Calusa EFGH

Discussions include FINRA arbitration issues, approved rule changes, and rule proposals.

Plenary
AM-03 - Cryptocurrency
Alan Rosca, Drew Hinkes, Joseph Borg
Date/Time: 
10/10/2018 - 11:00am to 10/10/2018 - 12:15pm
Room: 
Calusa EFGH

Cryptoassets have been described by some as a disruptive means of fundraising, in many cases displacing venture and conventional A round financing of start-up ventures.

Plenary
AM-04 - Expert’s Roundtable
Gordon Yale
Date/Time: 
10/10/2018 - 12:45pm to 10/10/2018 - 1:30pm
Room: 
Blue Heron

Discussion about managing and growing an Expert’s practice; improving knowledge and skills; cost-effective resources; and best ethical practices.

Plenary
AM-05 - Settlements and Mediation from the Defense Perspective
Jon Furgison, Jeffrey Grubman, Paula Toomey, Brandon Reif, Patricia Cowart, Gregory Curley
Date/Time: 
10/10/2018 - 1:30pm to 10/10/2018 - 2:45pm
Room: 
Calusa EFGH

In-house counsel, outside counsel, insurance adjustor and mediator discuss how they evaluate cases, set reserves and engage in settlement negotiations.

Plenary
AM-06 - FINRA Discovery From Both Sides: What to do and when to do it
Joseph Wojciechowski, Jeffrey Kaplan, Page Poerschke, Bruce Lewitas, Howard Tescher, Chetan Patil
Date/Time: 
10/10/2018 - 2:45pm to 10/10/2018 - 3:45pm
Room: 
Calusa EFGH

 This plenary session will delve into some of the basics you absolutely must perform in order to effectively prosecute your case. From the moment the Respondent files its Answer, the clock starts under FINRA Rule 12506 (Discovery Guide).

Plenary
AM-07 - FINRA Arbitrators: A Comprehensive Look at How FINRA Ensures That Its Arbitrators Fulfill Their Ethical Duties
Jason Doss, Nicole Iannarone, Richard Berry, Carolann Gemski
Date/Time: 
10/11/2018 - 8:30am to 10/11/2018 - 9:30am
Room: 
Calusa EFGH

Ethics in Arbitration

Ethics
AM-08 - From the Defense Bar Perspective
Peter Mougey, Peter Fruin, Michael Ungar, Jeffrey Friedman
Date/Time: 
10/12/2018 - 1:45pm to 10/12/2018 - 3:00pm
Room: 
TBA

FINRA arbitration as viewed from the defense bar.

Plenary
AM-09 - Registered Investment Advisers (RIA) Claims
Adam Gana, Jonathan Kurta, Michael Ference, Rick Evans, Alan Smith
Date/Time: 
10/12/2018 - 3:00pm to 10/12/2018 - 4:00pm
Room: 
TBA

RIAs trying and  defending a case and a broker-dealer’s supervisory responsibilities: This session will address the contours of bringing and trying a case against a registered investment advisory firm from the claimant and respondent perspective.

Plenary
AM01 - NASAA Report & Roundtable
Hugh Berkson, Joseph Borg, Lynne Egan, Irving Faught, Theodore Miles
Date/Time: 
10/19/2017 - 8:45am to 10/19/2017 - 9:45am
Room: 
Rocky Mountain CD

This session highlights recent and current NASAA initiatives, including those relating to investor arbitration in Congress, the SEC, and FINRA. 

Plenary
AM02 - Review of FINRA DR Activities and Developments in 2017
Marnie Lambert, Katherine Bayer, Richard Berry
Date/Time: 
10/19/2017 - 9:45am to 10/19/2017 - 10:45am
Room: 
Rocky Mountain CD

Discussions include FINRA arbitration issues, approved rule changes, and rule proposals. 

Plenary
AM03 - Mediation Strategies
Mark Maddox, Howard Tescher, Jeffrey Grubman, Gary Saretsky
Date/Time: 
10/19/2017 - 11:00am to 10/19/2017 - 12:00pm
Room: 
Rocky Mountain CD

Experienced mediators and counsel for both investors and brokerage firms will discuss advanced mediation strategies to help you get the best possible offers from Respondents at your mediations. 

Plenary
AM04 - Expert's Roundtable
David Keogh
Date/Time: 
10/19/2017 - 12:45pm to 10/19/2017 - 1:30pm
Room: 
West Ballroom AB

Discussion about managing and growing an Expert’s practice; improving knowledge and skills; costeffective resources; and best ethical practices. 

Plenary
AM05 - Hearing Presentation and Strategy as seen by the Experts
Philip Aidikoff, Louis Straney, Douglas Schulz, Vincent Micciche
Date/Time: 
10/19/2017 - 1:30pm to 10/19/2017 - 2:30pm
Room: 
Rocky Mountain CD

Effective and ineffective hearing strategies and presentations that they have seen utilized by Claimants and Respondents. 

Plenary
AM06 - Arbitration Pre-Hearing Techniques: Getting to the Hearing Room
Michael Edmiston, Moshe Singer, David Robbins, Timothy O'Connor
Date/Time: 
10/19/2017 - 2:45pm to 10/19/2017 - 4:15pm
Room: 
Rocky Mountain CD

This program focuses on best practices and current issues facing Claimants’ counsel prior to the hearing.

Plenary
AM07 - Ethics in Arbitration
Jeffrey Sonn, Adam Weinstein
Date/Time: 
10/20/2017 - 8:15am to 10/20/2017 - 9:15am
Room: 
Rocky Mountain CD

This seminar will explore various ethical issues afffecting lawyers in arbitration such as conflicts of interest, duties owed to third parties, and the aggregate settlement rule.

Ethics
AM08 - Arbitration Hearing Techniques: Proving Liability & Damages and Avoiding Common Defenses
Scott Ilgenfritz, Mark Tepper, Ross Intelisano, Adam Gana, William Young
Date/Time: 
10/20/2017 - 9:15am to 10/20/2017 - 10:45am
Room: 
Rocky Mountain CD

This session will address pleading and proving a suitability case and pleading and proving a churning case. Panelists will also address proving damages, dealing with commonly asserted arguments by respondents regarding damages, and countering commonly asserted defenses. 

Plenary
AM09 - View from the Defense Bar
Andrew Stoltmann, Howard Tescher, Bruce Lewitas, Brandon Reif, Frederick Schrils, Alan Rafterman
Date/Time: 
10/21/2017 - 1:45pm to 10/21/2017 - 3:15pm
Room: 
Rocky Mountain CD

FINRA Arbitration as viewed by the defense bar.

Plenary
BO-01 - Ethical Issues in Dealing with Elderly Clients
Debra Speyer, Benjamin Edwards
Date/Time: 
10/12/2018 - 8:30am to 10/12/2018 - 9:30am
Room: 
Calusa A
Date/Time: 
10/12/2018 - 11:00am to 10/12/2018 - 12:00pm
Room: 
Calusa A

As the population ages and people live longer, there will be more claims brought by people who may have various levels of diminished capacity. Learn how to

Ethics
BO-02 - Ethical Issues in Lawyer Advertising
Scott Ilgenfritz, David Meyer, Joseph Corsmeier
Date/Time: 
10/11/2018 - 9:45am to 10/11/2018 - 10:45am
Room: 
Calusa A
Date/Time: 
10/11/2018 - 11:00am to 10/11/2018 - 12:00pm
Room: 
Calusa A

This session will have two focuses: first, complying with ethical requirements in advertising; and second, strategies for successful marketing.  The ethics in advertising segment will be presented by Joe Corsmeier, who served as a prosecutor for The Florida Bar and has represented attorneys in de

Ethics
BO-03 - Overview of Margin Rules and Margin Related Litigation
David Miller, Chad Kohler, Paul Carroll, Brad Marx
Date/Time: 
10/12/2018 - 8:30am to 10/12/2018 - 9:30am
Room: 
Calusa C

With volatility returning to the markets with a vengeance, there has already been an uptick in “margin blow-out” cases.  This session is designed for new and experienced practitioners.  It will cover the technical intricacies of margin calculations and the differences between traditional Reg.

Break-out
BO-04 - Puerto Rico Investments
Samuel Edwards, Robert Pearce, Mark Conner
Date/Time: 
10/12/2018 - 11:00am to 10/12/2018 - 12:00pm
Room: 
Blue Heron

Since their precipitous drop began in the fall of 2013, Puerto Rico bonds have been a large component of the customer cases filed in FINRA.  Initially, those cases were largely concentrated on the island of Puerto Rico.

Break-out
BO-05 - Challenges Facing Female Claimants’ Attorneys in FINRA Arbitration
Jenice Malecki, Melanie Cherdack, Teresa Verges, Patricia Koetting
Date/Time: 
10/12/2018 - 9:45am to 10/12/2018 - 10:45am
Room: 
Calusa A

Men still well out-number the women in the room; the same is true for people of color. This session will be directed at identifying and dealing with gender issues in a FINRA arbitration practice from prospecting to hearing, as well as in mediation and relations with opposing counsel and peers.

Break-out
BO-06 - Suing and Collecting from Insolvent Broker-Dealers: Interplay Between Bankruptcy and FINRA Cases
Joshua Kons, Jason Albin, Jason Kane, Brian Nally
Date/Time: 
10/11/2018 - 9:45am to 10/11/2018 - 10:45am
Room: 
Calusa B
Date/Time: 
10/12/2018 - 8:30am to 10/12/2018 - 9:30am
Room: 
Calusa B

Unpaid arbitration awards and collection issues continue to be one of the top issues facing PIABA and retail investors who find themselves in the FINRA arbitration forum.

Break-out

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