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
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
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
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
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
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 - 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 - 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
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
BO06 - In Depth Arbitrator Background Investigations and Selection Strategies
Alan Rosca, David Gaba, Richard Ryder
Date/Time: 
10/24/2019 - 9:45am to 10/24/2019 - 10:45am
Room: 
TBA
Date/Time: 
10/25/2019 - 8:30am to 10/25/2019 - 9:30am
Room: 
TBA

An impartial and fair panel of arbitrators in a FINRA arbitration may be the single most important factor that contributes to the outcome of the case.

Break-out
BO07 - Win at Mediation and Arbitration Using the Science of Behavioral Psychology To Your Advantage
Patricia Vannoy, Lisa Braganca, Kathy Adams
Date/Time: 
10/25/2019 - 9:45am to 10/25/2019 - 10:45am
Room: 
TBA

Back by popular demand, the next installment of behavioral psychology.  In round two, we plan to make the session interactive and focus on presentation of the case.

Break-out
BO08 - Best and Most Affordable Use of Experts in Every Type of Arbitration Case
Hugh Berkson, Ryan Bakhtiari, Elizabeth Falk, Vincent Micciche, Gordon Yale
Date/Time: 
10/24/2019 - 9:45am to 10/24/2019 - 10:45am
Room: 
TBA

You've filed your statement of claim.  Or, maybe you just hung up with a new client and you're getting ready to file your case.  At some point, you'll likely want and/or need an expert's help.  When do you involve that expert to best effect?  How do you involve that expert to best effect?

Break-out
BO09 - Winning Arbitrations Based on Unsuitable Annuity and Life Insurance Recommendations
Jason Kane, Frederick Rosenberg, Scott Silver
Date/Time: 
10/24/2019 - 11:00am to 10/24/2019 - 12:00pm
Room: 
TBA
Date/Time: 
10/25/2019 - 11:00am to 10/25/2019 - 12:00pm
Room: 
TBA

Annuities and life insurance are permanent fixtures of the financial services industry.  Aided by the continued marketing efforts of the largest distributors, according to industry statistics, as of 2017 there were $2.5 trillion in annuities with annual sales of more than $200 billion per year.

Break-out
BO10 - Non-FINRA Arbitrations - A Look at RIA Issues
Timothy O'Connor, Jeffrey Grubman, Jane Stafford
Date/Time: 
10/25/2019 - 9:45am to 10/25/2019 - 10:45am
Room: 
TBA
Date/Time: 
10/25/2019 - 11:00am to 10/25/2019 - 12:00pm
Room: 
TBA

Because registered investment advisors are not bound to FINRA arbitration (unless they are dually registered), cases against RIAs are often brought in non-FINRA arbitration forums pursuant to contractual arbitration clauses.

Break-out
BO11 - Motions to Vacate, Eligibility and Statues of Limitations
Samuel Edwards, Stefan Apotheker, Luis Minana
Date/Time: 
10/24/2019 - 11:00am to 10/24/2019 - 12:00pm
Room: 
TBA

One of the consequences of a decade long bull market is that many of the investments that are either beginning to show their problems or which have not yet blown up but will when the inevitable market downturn comes were purchased many years ago.

Break-out
BO12 - Business Development Companies and Product Cases
Melinda Steuer, Christine Lazaro, Jeffery Schaff, Michael Pieciak
Date/Time: 
10/25/2019 - 8:30am to 10/25/2019 - 9:30am
Room: 
TBA

Business Development Companies (BDCs) are a type of alternative investment which have become increasingly utilized in recent years.  This session will explore the features and risks of BDCs, as well as issues that arise in litigating cases involving BDCs.

Break-out
BO13 - Representing Traders and Hedge Funds Against Broker-Dealers
David Miller, James Swanson
Date/Time: 
10/24/2019 - 9:45am to 10/24/2019 - 10:45am
Room: 
TBA

Representation of Traders, Hege Funds and Institutions is entirely differnet than representation of individuals in typical suitability cases.

Break-out
BO14 - Cryptocurrency Updates for the Securities Attorney
Darlene Pasieczny, Benjamin Edwards
Date/Time: 
10/24/2019 - 11:00am to 10/24/2019 - 12:00pm
Room: 
TBA

Cryptocurrencies are a moving target.  This panel focuses on what a securities attorney should know about cryptocurrencies in the context of regulation and enforcement by state and federal agencies, as well as private causes of action and industry developments.

Break-out
BO15 - Anatomy of an Annuities Trial
Thomas Mauriello, Frank Fox
Date/Time: 
10/25/2019 - 9:45am to 10/25/2019 - 10:45am
Room: 
TBA

This session will address best practices in litigating an annuities case, including choice of cliams to plead, financial elder abuse claims, settlement discussions, jury instructions, and damages, esqecially where damages are not the traditional kind and may include very low amounts of surrender

Break-out