Description | Written Materials | PowerPoint | Session Track |
---|---|---|---|
AM01 - Review of FINRA DR Activities and Developments in 2020 Samuel Edwards, Richard Berry, Laura McNamire Date/Time: 10/21/2020 - 9:45am to 10/21/2020 - 10:45am Room: Rocky Mt. Ballroom CD Discussions include FINRA arbitration issues, approved rule changes, and rule proposals. This session will be recorded for replay by Members fully registered to attend the PIABA Annual Meeting. |
Plenary | ||
AM02 - Zoom Zoom! How to Win Your Cases in Virtual Arbitration Hearings David Meyer, Chet Taylor, Sean Sweeney, David Miller Date/Time: 10/21/2020 - 10:50am to 10/21/2020 - 11:50am Room: Rocky Mt. Ballroom CD We would all love to get back to tryuing our cases with in-person hearings as soon as possible. Until then, welcome to the brave new world of virtual arbitration hearings. |
Plenary | ||
AM03 - Women in the Profession Sara Hanley, Jenice Malecki, Marnie Lambert, Kathy Adams, Darlene Pasieczny, Alise Johnson Date/Time: 10/21/2020 - 1:05pm to 10/21/2020 - 2:05pm Room: Rocky Mt. Ballroom CD 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 - Trial 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: Rocky Mt. Ballroom CD 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, John Foster Date/Time: 10/22/2020 - 12:50pm to 10/22/2020 - 1:50pm Room: Rocky Mt. Ballroom CD 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, William Nelson Date/Time: 10/23/2020 - 9:45am to 10/23/2020 - 10:45am Room: Rocky Mt. Ballroom CD 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: Rocky Mt. Ballroom CD 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: Rocky Mt. Ballroom CD 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: Rocky Mt. Ballroom A 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: Rocky Mt. Ballroom A 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: Rocky Mt. Ballroom CD Closed This session will be recorded for replay by Members fully registered to attend the PIABA Annual Meeting. |
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: Rocky Mt. Ballroom CD 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 Trial Presentation Technology Hugh Berkson, Laura McNamire, Jeff Abrams, Michael Bixby Date/Time: 10/22/2020 - 2:00pm to 10/22/2020 - 3:00pm Room: Rocky Mt. Ballroom A 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: Rocky Mt. Ballroom CD 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: Rocky Mt. Ballroom A 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 - A Primer on Real Estate, Real Estate Fraud, and Fraudulent Transfers Involving Life Insurance Jeffrey Sonn, Terri Sonn, James Sallah Date/Time: 10/23/2020 - 2:00pm to 10/23/2020 - 3:00pm Room: Rocky Mt. Ballroom CD This session will focus on the basics of commercial real estate, 1031 transactions, real estate fraud, and fraudulent transfers involving life insurance. |
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: Rocky Mt. Ballroom A 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 | ||
PIABA Annual Business Meeting David Meyer, Samuel Edwards, Robin Ringo Date/Time: 10/21/2020 - 11:50am to 10/21/2020 - 12:50pm Room: Rocky Mt. Ballroom CD PIABA Annual Business Meeting |