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

10/22/2020 - 2:00pm to 10/22/2020 - 3:00pm

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.