| Description | Written Materials | PowerPoint | Session Track |
|---|---|---|---|
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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 | ||
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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 | ||
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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 | ||
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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 | ||
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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 | ||
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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 | ||
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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 | ||
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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 | ||
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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 | ||
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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 | ||
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BO04 - GPB Cases Jason Kane, Kalju Nekvasil Date/Time: 10/22/2020 - 10:50am to 10/22/2020 - 11:50am Room: TBA Closed |
Closed | ||
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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 | ||
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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 | ||
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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 | ||
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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 | ||
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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 | ||
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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 |