Session Description

Description Written Materials PowerPoint Session Track
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 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
AM04 - Trail Tactics
Kirk Smith, Jason Doss, Luis Minana, Melanie Cherdack, Ross Intelisano, Brandon Reif
Date/Time: 
10/22/2020 - 9:45am to 10/22/2020 - 10:45am
Room: 
TBA

This session will feature practitioners to discuss various aspects of a FINRA final hearing from both the Claimant and Respondent perspective. Topics include the Opening Statement, Order of Witnesses, Out of Industry Broker, Brokerage Firm Officers, and the Closing Statement.

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
AM06 - Liability Insurance Coverage
Joseph Wojciechowski, John Burke, Alexander Loftus, Ohia Amadi
Date/Time: 
10/23/2020 - 9:45am to 10/23/2020 - 10:45am
Room: 
TBA

Join a panel of experienced arbitration and litigation attorneys from both sides of the aisle for a panel discussion about liability insurance coverage.

Plenary
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

It’s no secret that cases can be won and lost on testifying witness preparation. When our clients testify, we’re holding our breath, hoping that the work we have put in during the preparation process pays off.

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
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

Discussion with two former federal prosecutors who have experience trying hundreds of federal jury trials about how to present a case effectively.

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 section will explore how to evaluate and prosecute claims against secondary actors – those not directly involved in the purchase or sale transaction, but who have liability nonetheless.

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

Closed

Closed
BO05 - Effect of Court & Regulatory Decisions on Typical Defenses Raised by Broker-Dealers
Robert Girard, Adam Gana, Derek Anderson
Date/Time: 
10/22/2020 - 2:00pm to 10/22/2020 - 3:00pm
Room: 
TBA

This Panel will cover the latest in court and regulatory decisions that bear on the typical defenses raised by broker dealers in securities arbitration cases, such as: waiver, ratification and estoppel; wealthy investor; sophisticated investor; no fiduciary or supervisory duty in a nondiscretiona

Break-out
BO06 - Mastering Trail Presentation Technology
Hugh Berkson, Laura McNamire, Jeff Abrams, Michael Bixby
Date/Time: 
10/22/2020 - 2:00pm to 10/22/2020 - 3:00pm
Room: 
TBA

Some people have been extolling the virtues of technology in the context of securities arbitration for years. Thanks to the Pandemic, even the most die-hard Luddites are now being forced to consider using (or actually use) technology for case preparation, mediation, and hearings.

Break-out
BO07 - Financial Elder Abuse, Ethics
Thomas Mauriello, Frank Fox, Alan Besnoff
Date/Time: 
10/23/2020 - 10:50am to 10/23/2020 - 11:50am
Room: 
TBA

Handling annuity and other financial elder abuse cases involving unsuitable investments and elderly clients who may lack capacity or suffer other cognitive impairment.

Break-out
BO08 - Discovery Guide Review
Michael Edmiston, Laura Dunning, Moshe Singer
Date/Time: 
10/23/2020 - 10:50am to 10/23/2020 - 11:50am
Room: 
TBA

9, 13, 14, 15, 16, 17, 20, and 21. If you don’t recognize these numbers, you are missing key documents in discovery. If you know these numbers and your reaction is “I hate these Discovery Guide fights,” this program is for you.

Break-out
BO09 - Consumer Class Actions
Jeffrey Sonn, Terri Sonn, James Sallah
Date/Time: 
10/23/2020 - 2:00pm to 10/23/2020 - 3:00pm
Room: 
TBA

This session will focus on investment related commercial litigation issues that are sometimes litigated in court or arbitration, such as fraudulent valuations of commercial real estate related investments, fraudulent transfers by Ponzi promoters, and EB5 fraud.

Break-out
BO10 - The Science of Settlement Success
Angela Hayden, Brian Henderson
Date/Time: 
10/23/2020 - 2:00pm to 10/23/2020 - 3:00pm
Room: 
TBA

Getting the best results for our clients isn’t just a matter of luck. It all starts with the first steps we take to evaluate a claim, to set the expectations for our clients, to lay out all the reasons why our opponents should open their checkbooks and start writing.

Break-out