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: 
Virtual

Discussion of selected cases and legislation in 2020 involving arbitration, securities law, 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: 
Virtual

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 - 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: 
Virtual

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

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

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

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: 
Virtual

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.