Session Description

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.

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.

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

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).

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.

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

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

This session will focus on the basics of commercial real estate, 1031 transactions, real estate fraud, and fraudulent transfers involving life insurance.