BO05 - Effect of Court & Regulatory Decisions on Typical Defenses Raised by Broker-Dealers

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 nondiscretionary account; failure to mitigate damages; mitigation caused avoidable damages; and other typical defenses. Attendees will be asked to contribute their techniques to combat these typical defenses.