Session Description

Description
SL01 - Case Law and Legislative Roundup
Scott Eichhorn, Elissa Germaine
Date/Time: 
10/20/2020 - 10:00am to 10/20/2020 - 10:30am
Room: 
TBA

Discussion of selected cases and legislation in 2020 involving arbitration, securities law, and related issues commonly found in securities arbitration practice.

SL01 - Ethics: Law Practice Diagnostic Assessment
Nicole Iannarone
Date/Time: 
10/22/2019 - 12:30pm to 10/22/2019 - 1:30pm
Room: 
Brazos EF

In this interactive and engaging ethics update, we will conduct a self-audit to identify best methods and strengthen our law practices.

SL02 - Case Law Round-up for the Securities Arbitration Practitioner
Teresa Verges, Elissa Germaine
Date/Time: 
10/22/2019 - 1:30pm to 10/22/2019 - 2:00pm
Room: 
Brazos EF

Discussion of selected cases in 2019 involving arbitration and related issues commonly found in securities arbitration practice.

SL02 - Life Under Regulation Best Interest
Christine Lazaro, Christopher Gerold, Sandra Grannum, Joseph Savage
Date/Time: 
10/20/2020 - 10:35am to 10/20/2020 - 11:50am
Room: 
TBA

On June 5, 2019, the SEC adopted Regulation Best Interest (“Reg BI”), which establishes a “best interest” standard of conduct for broker‐dealers and associated persons for recommendation of securit

SL03 - High Risk Broker Regulation & Enforcement
Scott Eichhorn, Christopher Kelly, Michael Pieciak
Date/Time: 
10/22/2019 - 2:15pm to 10/22/2019 - 3:15pm
Room: 
Brazos EF

Brokers with a history of misconduct are far more likely to harm investors. The firms who employ the most brokers that harm investors remain the same year to year.

SL03 - Protecting Seniors and Vulnerable Adults from Financial Exploitation: Legal Developments, State Resources, and Broker-Dealer Best Practices
Teresa Verges, Joseph Borg, Gerri Walsh, Ronald Long
Date/Time: 
10/20/2020 - 12:00pm to 10/20/2020 - 1:15pm
Room: 
TBA

Financial exploitation of seniors remains a significant problem in the U.S. and is projected to worsen as our population grows older.

SL04 - Broker-Dealer Standards of Conduct
Christine Lazaro, Joseph Borg, Michael Edmiston, Leo Rydzewski
Date/Time: 
10/22/2019 - 3:15pm to 10/22/2019 - 4:30pm
Room: 
Brazos EF

Both the SEC and the DOL have considered what standard should apply to broker-dealer conduct.

SL04 - Diminished Capacity? Ethical Representation of Vulnerable Clients
Nicole Iannarone
Date/Time: 
10/20/2020 - 1:25pm to 10/20/2020 - 2:25pm
Room: 
TBA

This session will focus on working with clients who may be facing different degrees of vulnerability, impairment, or diminished capacity.

SL05 - RIA and Hybrid RIA/BD Regulation: Where Were We, and Where Are We Going?
Darlene Pasieczny, Richard Ryder
Date/Time: 
10/22/2019 - 4:45pm to 10/22/2019 - 6:00pm
Room: 
Brazos EF

FINRA licensed brokers are increasingly migrating to an RIA-only or hybrid RIA/BD dual licensing model.

SL05 - Whistleblowers: Endangered Canaries or Bounty Hunters?
Benjamin Edwards, Jordan Thomas, Mark Pugsley, Melanie Devoe, Miriam Baer
Date/Time: 
10/20/2020 - 2:30pm to 10/20/2020 - 3:30pm
Room: 
TBA

This panel will discuss state and federal whistleblower programs with a focus on the Securities and Exchange Commission and the Commodities Futures Trading Commission programs.