2017

Description Written Materials PowerPoint Session Track
Session 2: Fixed Income Cases
David Neuman, Katrina Boice, Steve Buchwalter, Dennis Stubblefield, Gregory Tevis
Date/Time: 
05/05/2018 - 9:15am to 05/05/2018 - 10:15am
Room: 
Suite D

This session will discuss the issues that attorneys commonly face when considering and taking on clients in cases involving fixed income products.

Plenary
Session 3: The Speeding Train of Cryptocurrency Investments, Supervision, and Securities Regulation
Darlene Pasieczny, Benjamin Edwards, Lisa Braganca, Louis Straney
Date/Time: 
05/05/2018 - 10:30am to 05/05/2018 - 12:00pm
Room: 
Suite D

The panel will provide an overview of the language and mechanics of cryptocurrencies such as Bitcoin, and then focus on the emerging distributed ledger technology and the growing market for initial coin offerings (ICOs) in the context of securities regulation.

Plenary
Session 4: Broker Protocol
Robert Girard, Brent Burns, Jeffrey Compton, Devin Donohue
Date/Time: 
05/05/2018 - 1:15pm to 05/05/2018 - 2:15pm
Room: 
Suite D

The fight between firms and departing brokers to retain a book of business is always a battle, and prior to the Broker Protocol, the firms almost always won, often to the detriment of the investor customer, who got caught in the middle of what amounts to a messy divorce.

Plenary
Session 5: FINRA Arbitrations From the Defense Side: What it is we do wrong, and occasionally what it is we do right
Leonard Steiner, Brandon Reif, Chad Weaver
Date/Time: 
05/05/2018 - 2:20pm to 05/05/2018 - 3:20pm
Room: 
Suite D

FINRA Arbitrations From the Defense Side: What it is we do wrong, and occasionally what it is we do right

Plenary
Session 6: Strategies for Litigating the Dually Registered, and Independent RIA Disputes
Leslie Akins, Jeffrey Kaplan, Mason Dinehart, Erwin Shustak
Date/Time: 
05/05/2018 - 3:35pm to 05/05/2018 - 4:35pm
Room: 
Suite D

Through case example we will present current issues and strategies for effectively litigating both dually registered and independent registered investment advisors disputes.

Plenary
Session 7: Protecting Seniors: Developing Rules, Regulations, and Policies Affecting Seniors' Brokerage Accounts
Joseph Fogel, Christine Lazaro, Judy Louie, Kathy Adams
Date/Time: 
05/05/2018 - 4:40pm to 05/05/2018 - 5:40pm
Room: 
Suite D

As the customers of brokerage firms continue to age, and to enjoy longer life spans, there are many more issues arising effecting investment choices, account security, and even the aging of the financial advisor workforce.

Plenary

Pages