Session Description

Description Written Materials PowerPoint Session Track
BO-07 - The Interface of FINRA Enforcement Proceedings and FINRA Arbitration Proceedings
Timothy O'Connor, Christopher Kelly
Date/Time: 
10/11/2018 - 11:00am to 10/11/2018 - 12:00pm
Room: 
TBA

This session will address the various manners in which attorneys representing claimants in FINRA arbitration proceedings interact with the FINRA Department of Enforcement and related proceedings.

Break-out
BO-08 - Damages in Securities Arbitration
Jeffrey Sonn, Robert Kantas, David Robbins
Date/Time: 
10/11/2018 - 9:45am to 10/11/2018 - 10:45am
Room: 
TBA

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-09 - Preparing Your Client for Arbitration and Mediation
Michael Edmiston, Hugh Berkson, Robert Girard
Date/Time: 
10/11/2018 - 11:00am to 10/11/2018 - 12:00pm
Room: 
TBA
Date/Time: 
10/12/2018 - 11:00am to 10/12/2018 - 12:00pm
Room: 
TBA

Preparing your client for an arbitration or mediation is as much an art as it is a science. Clients come with different levels of education, sophistication, experience, temperament, and commitment to the dispute resolution process.  Managing expectations is only the initial step of preparing for

Break-out
BO-10 - Energy MLPs and Other Energy Backed Investments
Kirk Smith, Christopher Gray, Brian Henderson
Date/Time: 
10/12/2018 - 11:00am to 10/12/2018 - 12:00pm
Room: 
TBA

Over the past four years oil and gas prices have sharply declined and remained so with only a minor recovery from the highs of 2014. Investments such as Energy Backed MLPs (“Master Limited Partnerships”) have fared worse. The Alerian MLP index was at an all time high point of 539 points in 2014. 

Break-out
BO-11 - Behavioral Science: Understanding Why Arbitrators Rule Against Customers
Patricia Vannoy, Lisa Braganca, Kathy Adams
Date/Time: 
10/12/2018 - 9:45am to 10/12/2018 - 10:45am
Room: 
TBA

How can behavioral decision-making concepts help you draft better statements of claim, draft more persuasive motions, make more persuasive oral arguments, present more persuasively at hearing, and be more effective negotiating settlements and in mediations?

Break-out
BO-12 - Structured Products (and Closed End Funds Sold to Seniors)
John Veach, William Young, Edward O'Neal, Ronald Heakins
Date/Time: 
10/12/2018 - 8:30am to 10/12/2018 - 9:30am
Room: 
TBA

They’re back, and with a vengeance. This program focuses on structured products.  These are pre-packaged investment strategies based on a single security, a basket of securities, options, indices, commodities, debt issuance, foreign currencies, and derivatives.

Break-out
BO-13 - Trial Tactics and Techniques from Both Sides
Jeffrey Erez, Stefan Apotheker, Gregg Breitbart, Frank Cuccio
Date/Time: 
10/11/2018 - 9:45am to 10/11/2018 - 10:45am
Room: 
TBA
Date/Time: 
10/12/2018 - 9:45am to 10/12/2018 - 10:45am
Room: 
TBA

This session will feature practitioners and expert(s) to discuss various aspects of a FINRA final hearing from both the Claimant and Respondent perspective. The topics that will be covered include:

Break-out
BO-14 - Option Cases
Brian Levin, Mike Yan
Date/Time: 
10/11/2018 - 11:00am to 10/11/2018 - 12:00pm
Room: 
TBA

This program focuses on understanding the different types of options cases, including the various risk levels associated with various options strategies, how to tailor your discovery requests, understanding the supervision required for options accounts, and what issues to focus on at final hearin

Break-out
BO-15 Handling Small Cases
Christine Lazaro, Scott Eichhorn, Richard Berry
Date/Time: 
10/12/2018 - 9:45am to 10/12/2018 - 10:45am
Room: 
TBA

FINRA has adopted a new option for small cases. This session will discuss the new rule, including what is required and what is allowed.  It will also cover techniques for handling small cases on the papers as well as under the new procedure, which allows limited testimony.

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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