2017

Description Written Materials PowerPoint Session Track
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
BO01 - Compensation for Brokers and Broker-Dealers
Jenice Malecki, Pearl Zuchlewski, Joseph Borg, Edward O'Neal
Date/Time: 
10/20/2017 - 11:00am to 10/20/2017 - 12:00pm
Room: 
Rocky Mountain CD
Date/Time: 
10/21/2017 - 8:30am to 10/21/2017 - 9:30am
Room: 
Divide

This session is an overall look at compensation from the standpoint of the institution and how it may, in certain instances, raise issues of conflict of interest with its customers.

Break-out
BO02 - Secondary Liability for Investment Fraud/Ponzi Schemes: Spotting Cases and Identifying Potentially Liable Parties
Alan Rosca, Paul Scarlato, Barton Goplerud
Date/Time: 
10/21/2017 - 3:30pm to 10/21/2017 - 4:30pm
Room: 
West Ballroom AB

For nearly every fraudulent investment scheme that raises over $1 million from the investing public, the perpetrators will likely need support from third‐party entities to be able to operate and grow the scheme.

Break-out
BO03 - ERISA Class Action
Joseph Peiffer
Date/Time: 
10/21/2017 - 9:45am to 10/21/2017 - 10:45am
Room: 
Divide

This session will give you a primer from beginning to end of an ERISA class action.

Break-out
BO04 - Insurance as an Investment Vehicle
Thomas Ajamie, Ryan Cook
Date/Time: 
10/21/2017 - 11:00am to 10/21/2017 - 12:00pm
Room: 
Rocky Mountain CD

Discussion of the suitability of various insurance products and hearing strategies. 

Break-out
BO05 - Cross Examination of Experts
Jeffrey Erez, Craig McCann, Jeffrey Kaplan
Date/Time: 
10/21/2017 - 8:30am to 10/21/2017 - 9:30am
Room: 
West Ballroom AB

This session will cover cross examination of expert witnesses. As the respondent typically calls its expert towards the end of their case in chief and just prior to closing argument, it is critical to neutralize the expert and better yet recapture momentum if at all possible.

Break-out
BO06 - Regulatory Changes to the Investment Advice Industry
Christine Lazaro, Benjamin Edwards
Date/Time: 
10/21/2017 - 11:00am to 10/21/2017 - 12:00pm
Room: 
Divide

This session will focus on new rules and regulations which affect investment advice. We will review new FINRA and SEC rules (other than those governing the arbitration process), and will provide an overview and update on the Department of Labor’s fiduciary duty rule. 

Break-out
BO07 - Law Firm Marketing: What Works and What Doesn't
Mark Pugsley, Kirk Smith
Date/Time: 
10/21/2017 - 8:30am to 10/21/2017 - 9:30am
Room: 
West Ballroom CD

We will explore marketing strategies that firms are using to get new cases, including websites, print advertising, radio and social media.  We will engage panelists and attendees in an open discussion about where their cases are coming from, advertising success and failures, and where they get th

Break-out
BO08 - Do's and Don'ts of Group Arbitration Claims
Sean Sweeney, Richard Lewins, Joseph Wojciechowski, Alan Rosca
Date/Time: 
10/21/2017 - 9:45am to 10/21/2017 - 10:45am
Room: 
West Ballroom AB
Date/Time: 
10/20/2017 - 11:00am to 10/20/2017 - 12:00pm
Room: 
Divide

A group arbitration can be a great way to benefit from economies of scale, consistent testimony regarding a broker's conduct, and help to leverage a settlement. However, they come with their own challenges and perils for the unwary.

Break-out
BO09 - Supervision (or Lack Thereof) at Independent-Contractor Broker-Dealers
Patricia Vannoy, David Gaba, Lance McCardle, Sander Ressler, Kathy Adams
Date/Time: 
10/20/2017 - 11:00am to 10/20/2017 - 12:00pm
Room: 
West Ballroom AB
Date/Time: 
10/21/2017 - 11:00am to 10/21/2017 - 12:00pm
Room: 
West Ballroom AB

Broker‐dealers are required to supervise their reps, but in the "self‐regulatory" world, how they do that is largely up to them.

Break-out
BO10 - Tax Treatment of Client Settlements
Jeffrey Pederson, Howard Bernstein, Tim West
Date/Time: 
10/21/2017 - 9:45am to 10/21/2017 - 10:45am
Room: 
West Ballroom CD

Taxation issues concerning investment losses and settlements are things that leave many securities arbitration practitioners confused.

Break-out
BO11 - Crowdfunding
Jason Burge, Brian Henderson
Date/Time: 
10/21/2017 - 3:30pm to 10/21/2017 - 4:30pm
Room: 
Divide

Crowdfunding is no longer just about Kickstarter and charity campaigns. Since the passage of the 2012 Jobs Act, companies can now solicit investors directly with general solicitations and advertising for the first me in over 80 years.

Break-out
BO12 - Don't "Just Say No"; When a Class Action May Be the Best Option for Recovery
David Meyer, Matthew Wilson
Date/Time: 
10/21/2017 - 11:00am to 10/21/2017 - 12:00pm
Room: 
West Ballroom CD

We all speak regularly with potential clients who have compelling stories of how they have been ripped off, but often, because there may be too little money at stake on an individual basis, we are forced to decline representation.

Break-out
BO13 - Creative Counters to Dirty Deeds - Use Respondents' Dirty Tricks to Your Advantage , Closed
Lisa Braganca, Peter Mougey, Hugh Berkson, Nicholas Guiliano
Date/Time: 
10/21/2017 - 9:45am to 10/21/2017 - 10:45am
Room: 
Rocky Mountain CD

We all have had this experience: you are having a perfectly fine day when out of the blue you receive an email from respondent that sends your blood pressure skyrocketing.

Closed
BO14 - Dealing with Diminished Capacity: Ethical Obligations of the Elder Client’s Attorney, the Brokerage Firm and the Duty to Disclose
Teresa Verges, Samuel Edwards, Nicole Iannarone
Date/Time: 
10/20/2017 - 11:00am to 10/20/2017 - 12:00pm
Room: 
West Ballroom CD
Date/Time: 
10/21/2017 - 3:30pm to 10/21/2017 - 4:30pm
Room: 
West Ballroom CD

This break out session will explore the ethical issues involved in representing seniors and other vulnerable adults in securities arbitration cases, including the issues of third party involvement, identifying the client and his or her best interests, protecting seniors and other vulnerable adult

Break-out
Session 0: Welcome Message
Date/Time: 
05/05/2018 - 8:00am to 05/05/2018 - 8:10am
Room: 
Suite D

Welcome to the 2018 PIABA California Meeting

Plenary
Session 1: Review of FINRA Dispute Resolution Developments in 2018
Michael Edmiston, Thomas Mauriello, Richard Berry, Laura McNamire
Date/Time: 
05/05/2018 - 8:10am to 05/05/2018 - 9:10am
Room: 
Suite D

In this program, Richard W.

Plenary

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