Session 6: Strategies for Litigating the Dually Registered, and Independent RIA Disputes

05/05/2018 - 3:35pm to 05/05/2018 - 4:35pm
Suite D

Through case example we will present current issues and strategies for effectively litigating both dually registered and independent registered investment advisors disputes. Topics that will be addressed include identifying the scope of actionable conduct and where to find it, tying in the broker‐dealer, powers of attorney, anticipating affirmative defenses, keeping the case together, insurance coverage, and tools for maximizing recovery.