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
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
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: 
Calusa C

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: 
Blue Heron

This seminar focuses on how to make persuasive arguments on the issue of damages, and will also cover how a typical arbitrator may view your damage arguments.  David Robbins, who has served as an Arbitrator on many occasions, will discuss damages from his service as an arbitrator.

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: 
Calusa B
Date/Time: 
10/12/2018 - 11:00am to 10/12/2018 - 12:00pm
Room: 
Calusa B

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: 
Calusa C

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: 
Blue Heron

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: 
Blue Heron

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: 
Calusa C
Date/Time: 
10/12/2018 - 9:45am to 10/12/2018 - 10:45am
Room: 
Calusa C

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, Ryan Cook, Joelle Simms, David Luger
Date/Time: 
10/11/2018 - 11:00am to 10/11/2018 - 12:00pm
Room: 
Blue Heron

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: 
Calusa B

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.