Session Description

Description Written Materials PowerPoint Session Track
AM01 - NASAA Report & Roundtable
Samuel Edwards, Christopher Gerold, Joseph Borg, Michael Pieciak
Date/Time: 
10/23/2019 - 8:45am to 10/23/2019 - 9:45am
Room: 
Brazos ABCD

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

Plenary
AM01 - NASAA Report and Roundtable
David Meyer
Date/Time: 
10/21/2020 - 9:45am to 10/21/2020 - 10:45am
Room: 
TBA

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 2019
Christine Lazaro, Richard Berry, Manly Ray
Date/Time: 
10/23/2019 - 9:45am to 10/23/2019 - 10:45am
Room: 
Brazos ABCD

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

Plenary
AM02 - Review of FINRA DR Activities and Developments in 2020
Samuel Edwards, Richard Berry
Date/Time: 
10/21/2020 - 10:50am to 10/21/2020 - 11:50am
Room: 
TBA

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

Plenary
AM03 - Women Lawyers, Arbitrators, and Expert Witnesses
Sara Hanley, Jenice Malecki, Marnie Lambert, Kathy Adams, Darlene Pasieczny
Date/Time: 
10/21/2020 - 1:05pm to 10/21/2020 - 2:05pm
Room: 
TBA

In recent years, women have been making great strides in gender equality. Despite such progress, men still well outnumber women in the room, and women in the legal profession continue to face many obstacles throughout their career.

Plenary
AM03 - Working with the FBI and the Commodity Futures Trading Commission (CFTC)
Niem Nguyen, Melanie Devoe, Jonathan Walthers
Date/Time: 
10/23/2019 - 11:00am to 10/23/2019 - 12:00pm
Room: 
Brazos ABCD

This session will provide an overview of the FBI's focus on Investment Fraud, Securities and Commodities Fraud, and Market Manipulation. We will discuss when and how to contact the FBI.

Plenary
AM04 - Expert's Roundtable
David Keogh, Elizabeth Falk
Date/Time: 
10/23/2019 - 12:30pm to 10/23/2019 - 1:15pm
Room: 
Brazos G

Discussion about managing and growing and Expert's practice; improving knowlege and skills; cost-effective resources; and best ethical practices.

Plenary
AM04 - Trail Tactics
Kirk Smith, Jason Doss, Luis Minana, Melanie Cherdack, Ross Intelisano
Date/Time: 
10/22/2020 - 9:45am to 10/22/2020 - 10:45am
Room: 
TBA

Session description forthcoming

Plenary
AM05 - Broker-Dealer AML Oversight: Red Flags That Should Have Detected Fraud
Glenn Gitomer, Sander Ressler
Date/Time: 
10/22/2020 - 12:50pm to 10/22/2020 - 1:50pm
Room: 
TBA

Broker-dealers must comply with the Bank Secrecy Act and its regulations and, pursuant to FINRA Rule 3310, develop and implement a written AML compliance program. The purpose of AML oversight is to detect money laundering and fraudulent activity.

Plenary
AM05 - The Interface of FINRA Enforcement Proceedings and FINRA Arbitration Proceedings
Joseph Wojciechowski, Christopher Kelly, Terri Reicher
Date/Time: 
10/23/2019 - 1:30pm to 10/23/2019 - 2:30pm
Room: 
Brazos ABCD

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

Plenary
AM06 - From the Defense Bar Perspective
Adam Gana, Gary Saretsky, Richard Szuch, Michael Schwartzberg, Paula Shaffner
Date/Time: 
10/23/2019 - 2:45pm to 10/23/2019 - 4:00pm
Room: 
Brazos ABCD

This session will analyze settlements, mediation and FINRA arbitration from the perspective of the industry's most respected leaders.

Plenary
AM06 - Liability Insurance Coverage
Joseph Wojciechowski, John Burke, Alexander Loftus, Howard Tescher, Brandon Reif
Date/Time: 
10/23/2020 - 9:45am to 10/23/2020 - 10:45am
Room: 
TBA

With the likely inclusion of liability insurance coverage in the discovery guide, members need to be educated on what to do with that information.

Plenary
AM07 - Ethics in Arbitration
Jeffrey Sonn, Adolfo Anzola
Date/Time: 
10/24/2019 - 8:30am to 10/24/2019 - 9:30am
Room: 
Brazos ABCD

This session will explore recent ethics rulings from around the country, and how they may affect the securities arbitration practitioner.

Ethics
AM07 - The Ethics of Witness Preparation
Courtney Werning, Stefan Apotheker, William Young, Richard Frankowski, David Neuman
Date/Time: 
10/23/2020 - 12:50pm to 10/23/2020 - 1:50pm
Room: 
TBA

Session description is forthcoming

Plenary
AM08 - All Star Securities Attorneys Share Their Most Important Lessons
Andrew Stoltmann, Jeffrey Erez, Philip Aidikoff, Kalju Nekvasil, Howard Tescher, Terry Weiss
Date/Time: 
10/25/2019 - 1:45pm to 10/25/2019 - 3:00pm
Room: 
TBA

This all-star panel of top arbitration practitioners will share their biggest lessons learned from decades of trying cases against brokerage firms.

Plenary
AM09 - How to Maximize your Mediation Settlements
Mark Maddox, Phil Cottone, James Yellen, Jeff Abrams
Date/Time: 
10/25/2019 - 3:00pm to 10/25/2019 - 4:00pm
Room: 
TBA

A panel of very experienced securities mediators will discuss their ideas for how you can increase the settlements offered to investors at mediations.  Special strategies will be discussed for group cases and outside the box options like Med-Arb.

Plenary
BO01 - Bankruptcy Topics as They Relate to Arbitration
Randall Pulman, Ronald King, Craig Gargotta
Date/Time: 
10/21/2020 - 2:10pm to 10/21/2020 - 3:10pm
Room: 
TBA

1) Hand over your homestead, or at least everything above $160,375. 11 USC Section 522(q)(1)(b). May I pay your bankruptcy filing fee so we can get rid of your homestead exemption? 2) We don’t need to fight any more after the FINRA panel has ruled. 11 USC Section 523(a)(19).

Break-out
BO01 - Ethical Issues in Group Cases
John Burke, Lauren Ross, Adam Weinstein
Date/Time: 
10/25/2019 - 8:30am to 10/25/2019 - 9:30am
Room: 
TBA
Date/Time: 
10/25/2019 - 11:00am to 10/25/2019 - 12:00pm
Room: 
TBA

Representing more than one client in a group claim against a common defendance [or respondent] creates potentially disastrous ethical, strategic, and client-services issues for the unaware.

Ethics
BO02 - Persuasion Techniques of Federal Trial Lawyers
Lisa Braganca, Julie Porter, Stephen Feaga
Date/Time: 
10/21/2020 - 2:10pm to 10/21/2020 - 3:10pm
Room: 
TBA

Lecture on the fundamentals of story structure before we explain how to effectively incorporate storytelling into every phase of trial, from opening statements to cross-examination, closing arguments, and, if need be, persuasive sentencing arguments.

Break-out
BO02 - The Ethics of Expungement
Jason Doss
Date/Time: 
10/24/2019 - 9:45am to 10/24/2019 - 10:45am
Room: 
TBA
Date/Time: 
10/24/2019 - 11:00am to 10/24/2019 - 12:00pm
Room: 
TBA

The session will involve a panel discussion on the various ethical issues that arise from expungement proceedings, including but not limited to a discussion of ethcial duties owed to current and former clients whose complaint becomes the subject of an expungement request during or after the origi

Ethics
BO03 - Collection Efforts; Tax Treatment of Settlements
Richard Lewins, Mark Blenden, Danny Vess
Date/Time: 
10/25/2019 - 8:30am to 10/25/2019 - 9:30am
Room: 
TBA

After you have won an Award, clients usually have two questions - "what are the tax consequences?"and, "when am I getting paid?". For the former, we will have a CPA and/or Tax attorney tell you how to answer that question, should you so desire.

Break-out
BO03 - Secondary Liability for Actors Who Participate in Fraudulent Investment Schemes/Clearing Firms
Robert Banks, Joseph Peiffer, Amir Tadjedin
Date/Time: 
10/22/2020 - 10:50am to 10/22/2020 - 11:50am
Room: 
TBA

This is an area of interest to many PIABAns, particularly given that often times the seller of the fraudulent investment is either unlicensed or is affiliated with an uncollectible broker-dealer firm.

Break-out
BO04 - GPB Cases
Jason Kane, Kalju Nekvasil
Date/Time: 
10/22/2020 - 10:50am to 10/22/2020 - 11:50am
Room: 
TBA

Session description forthcoming,

Closed
BO04 - How Receiverships Can Create Additional Recoveries for Victims of Fraud
Mark Pugsley, Jason Collins, Gregory Milligan
Date/Time: 
10/25/2019 - 11:00am to 10/25/2019 - 12:00pm
Room: 
TBA

A panel discussion on how receiverships work, and how they can provide investors with additional paths to recovery.

Break-out
BO05 - Challenges Facing Female Claimants' Attorneys in FINRA Arbitration
Courtney Werning, Deanna Besbekos-LaPage, Darlene Pasieczny
Date/Time: 
10/25/2019 - 9:45am to 10/25/2019 - 10:45am
Room: 
TBA

In recent years, women have been making great strides in gender equality.  Despite such progress, men still well outnumber women in the room, and women in the legal profession continue to face many obstacles throughout their career.

Break-out

Pages