Session Description

Description Written Materials PowerPoint Session Track
BO1 Ethics and Defamation: The Pitfalls of Communicating with Potential Clients through Blogs and Direct Solicitations
Mark Pugsley, Joshua Kons, Kirk Smith, Joseph Wojciechowski
Date/Time: 
10/28/2021 - 10:00am to 10/28/2021 - 11:00am
Room: 
Talbot D-E/ Virtual

Many PIABA lawyers are posting on websites and social media sites regularly. Many posts include information about FINRA disciplinary cases, bad products or large group cases they are working on and include names of companies and individuals they are targeting.

Closed
BO2 How to Bring RIA Cases
Jane Stafford, Joseph Borg, Courtney Werning, Jason Kane
Date/Time: 
10/28/2021 - 10:00am to 10/28/2021 - 11:00am
Room: 
Talbot F-H/ Virtual

The presentation starts from review of a case through filing, focusing on important considerations in bringing a case and positioning to obtain the best result. It covers determining the right forum and forcing an investment advisor into the right forum.

Break-out
BO3 Ethics of Succession
Debra Speyer, Angela Hayden
Date/Time: 
10/28/2021 - 11:15am to 10/28/2021 - 12:15pm
Room: 
Talbot D-E/ Virtual

Succession Planning is essential to every lawyer's practice proactively protecting clients and colleagues in the event of the lawyer's death or disability. This session will discuss the ethics of succession planning and the steps necessary to be in conformity with applicable rules.

Ethics
BO4 How Ya Gettin' Paid: Successor Broker Dealer Liability and Control Person Liability
Peter Mougey, Frank Cuccio, Peter Fruin, Joseph Peiffer
Date/Time: 
10/28/2021 - 11:15am to 10/28/2021 - 12:15pm
Room: 
Talbot F-H/ Virtual

This panel will discuss situations when claims arise against brokerdealers that have been acquired by another organization or are otherwise defunct, and the responsibilities of financial institutions under the theory of control person liability and other possible avenues for collection.

Break-out
BO5 Fundamentals of Arbitration: Significant Documents and an Introduction to the Discovery Guide
Richard Lewins, Melanie Cherdack, Kimberly Chavers, Christine Lazaro
Date/Time: 
10/28/2021 - 11:15am to 10/28/2021 - 12:15pm
Room: 
Talbot A-C

This panel will discuss the significant documents that are relevant to FINRA arbitrations.

Break-out
BO6 Broker Theft
Jeffrey Sonn, Michael Bixby, Richard Orsini, Kerry Finegan
Date/Time: 
10/28/2021 - 10:00am to 10/28/2021 - 11:00am
Room: 
Talbot A-C

This session will explore cases involving theft by financial advisors, via forged handwriting of checks, letters of authorization, false statements, and via electronic means.

Break-out
BO7 Discovery in RIA Arbitration Cases
Michael Edmiston, Timothy O'Connor, Jeffery Schaff
Date/Time: 
10/29/2021 - 1:15pm to 10/29/2021 - 2:15pm
Room: 
Talbot D-E/ Virtual

Does the FINRA Discovery Guide apply to cases involving RIAs? Are they still called exception reports? What is the name of the agreement between the RIA and broker-dealer, and why is it important? What are the record retention requirements for an RIA?

Break-out
BO8 How to Save Your Case from Dismissal - Motions to Dismiss Based on Eligibility (Rules 12504 and 12206) and Statutes of Limitation
Scott Greco, Sean Sweeney, Robert Pearce
Date/Time: 
10/29/2021 - 1:15pm to 10/29/2021 - 2:15pm
Room: 
Talbot F-H/ Virtual

This break-out session will discuss various strategies and legal arguments to respond to and defeat Motions to Dismiss in FINRA Arbitration, specifically focusing on the six year eligibility rule (FINRA Rules 12504 and 12206), and Motions made after Claimant’s case in chief based on statutes of l

Closed
BO9 How to Bring a Due Diligence Case without Suitability
Melinda Steuer, Mason Dinehart, Gail Boliver, Benjamin Biard
Date/Time: 
10/29/2021 - 1:15pm to 10/29/2021 - 2:15pm
Room: 
Talbot A-C

This session will focus on the litigation of cases where there is no customer-specific suitability issue, but the investment(s) at issue were so problematic that they should not have been offered to anyone.

Break-out
P1 Review of FINRA DR Activities and Developments in 2021
David Meyer, Richard Berry, Carolann Gemski, Katherine Bayer
Date/Time: 
10/27/2021 - 10:00am to 10/27/2021 - 11:00am
Room: 
Talbot D-E/ Virtual

Discussions include FINRA arbitration issues, approved rule changes, and rule proposals.

Plenary
P2 How to Prepare and Present Claims for Serious (or Severe) Emotional Distress Damages
Jon Furgison, Stacey Wood
Date/Time: 
10/27/2021 - 11:10am to 10/27/2021 - 12:10pm
Room: 
Talbot D-E/ Virtual

Discuss use of experts and diagnostic testing developed after the Madoff cases to show emotional distress symptoms, incapacity and susceptibility to undue influence. Discuss use of Day-In-The-Life-Videos at mediation and arbitration and how to put a number on the ED damages.

Plenary
P3 Clarity on Clearing Firm Liability
Michael Bixby, Philip Vujanov, Robert Lowry, Joel Everest
Date/Time: 
10/27/2021 - 1:30pm to 10/27/2021 - 2:30pm
Room: 
Talbot D-E/ Virtual

This session will discuss clearing firm liability, when clearing firm liability claims can or should be made (or not), standards and duties applicable to clearing firms, how to hold a clearing firm liable for the conduct of registered investment advisors and other professionals trading on the cle

Plenary
P4 The Whole Picture: Maximizing Damages in Securities Cases
Sean Sweeney, Robert Port, Darlene Pasieczny, Elizabeth Falk
Date/Time: 
10/27/2021 - 2:40pm to 10/27/2021 - 3:40pm
Room: 
Talbot D-E/ Virtual

The focus of this session will be on how different types of damages can be used to make clients whole.

Plenary
P5 Jeopardy Ethics
Marnie Lambert, Alan Rosca
Date/Time: 
10/29/2021 - 10:00am to 10/29/2021 - 11:00am
Room: 
Talbot D-E/ Virtual

Securities arbitration practitioners often find themselves navigating ethical minefields.

Ethics
P6 Broker Dealer Obligations with Regard to Dually Registered Brokers' RIA Services
Adam Gana, Adam Weinstein, Jonathan Kurta, Kimberly Koves, Sander Ressler
Date/Time: 
10/29/2021 - 11:10am to 10/29/2021 - 12:10pm
Room: 
Talbot D-E/ Virtual

This session will explore a Broker-Dealer’s obligation to supervise the outside investment advisory services of its registered representatives. We will explore the rules that govern brokerdealers conduct and the ways in which broker-dealers try to defend against these types of cases.

Plenary
P7 From the Defense Bar Perspective
Andrew Stoltmann, Bruce Lewitas, Gregory Curley, Brandon Reif, Peter Fruin
Date/Time: 
10/29/2021 - 2:30pm to 10/29/2021 - 3:30pm
Room: 
Talbot D-E/ Virtual

This session will analyze issues related to claim drafting, discovery practices, hearing techniques and mediation from the perspective from some of the top securities defense lawyers in the country.

Plenary