TUESDAY, SEPTEMBER 24, 2024

Issue Spotting: The Basics Of Bad Advice (12:00 pm-1:00 pm) PT

Location: Aragon Ballroom I&II
Issue Spotting: The Basics of Bad Advice – Richard Frankowski, Moderator; Brandon Reif, Phil Vujanov.

The Nuts And Bolts Of Bringing And Winning Claims Against Rias – From Forum Selection And Litigation Tactics To Tricks Of The Trade In AAA and Jams (1:05 pm-2:05 pm) PT

Location: Aragon Ballroom I&II
The Nuts and Bolts of Bringing and Winning Claims Against RIAs – From Forum Selection and Litigation Tactics to Tricks of the Trade in AAA or JAMS – Joseph Wojciechowski, Moderator; Tom Sporkin, John Burke, Elizabeth Falk. In this session a Panel of attorneys and an industry expert will discuss how to bring and prosecute successful claims against Registered Investment Advisors. The ever-changing procedural landscape makes filing RIA cases difficult. This Panel will discuss some basics about filing a case in state or federal court and how to use court-litigation to force your RIA into submission. Many RIAs use AAA or JAMs clauses in their arbitration agreements, and each of those forums offers both opportunities and pitfalls that can derail practitioners who are not familiar with those rules. Last, the Panel will discuss how to frame your pleading and causes of action no matter what forum you are in and how to leverage discovery to your advantage.

Civility And Reputation-building (Ethics) (2:15 pm – 3:15 pm) PT

Location: Aragon Ballroom I&II
Civility and Reputation-Building (Ethics) – Michael Bixby, Moderator; Robert Girard, Brian Mooney, Esther Cho. Discuss civility and respect for other attorneys and parties; the demise of “zealous advocacy”; best practices in a post-pandemic world; and communicating with forums, clients, and counsel in the electronic age; best practices for managing challenging interactions with difficult individuals encountered in the legal profession.

Mock Opening And Closing (3:20 pm – 4:20 pm) PT

Location: Aragon Ballroom I&II
Mock Opening and Closing – Joseph Peiffer, Moderator; Peter Mougey, David Meyer. It’s all about how you start – and finish. Join this experienced Panel for a discussion of the ins & outs of executing powerful opening and closing statements, including hearing & trial preparation, development of case themes, employment of persuasive visual and technology, packaging complex law and damages to a panel, among other topics. Whether you’re an experienced practitioner or just starting your career, this session will provide memorable tips and techniques to maximize the impact of your case presentations.

As Technology Evolves, Our Approach To Discovery And Documents Must Evolve Too (4:25 pm – 5:25 pm) PT

Location: Aragon Ballroom I&II
As Technology Evolves, Our Approach to Discovery and Documents Must Evolve Too – Hugh Berkson, Moderator; Page Poerschke, Nico Banks. Discovery and documents were simple 20 years ago: paper came in, we put it in binders, and then copied and mailed it with great abandon. The modern electronic era offers, if not demands, different approaches to gathering, producing, and reviewing documents from our clients and Respondents. Our panel with widely diverse experience addressing these issues will discuss best practices, and the pros/cons of differing approaches.

Opening Reception (5:30 pm – 7:00 pm) PT

Location: Bernardo & Patio

WEDNESDAY, SEPTEMBER 25, 2024

Breakfast (7:30 am – 9:00 am) PT

Location: Aragon Lawn

Updates With Finra (9:00 am – 10:00 am) PT

Location: Aragon Ballroom I&II
Updates from FINRA – Joseph Peiffer, Moderator; Richard Berry, Laura McNamire, Shannon Bond. Learn the current status of FINRA Dispute Resolution directly from FINRA senior staff. This panel will provide PIABA members with the opportunity to get first hand answers to their issues in FINRA arbitration.

Featured Bad Product – Autocallable Structured Notes (10:05 am- 11:05 am) PT

Location: Aragon Ballroom I&II
Featured Bad Product – Autocallable Structured Notes – Peter Mougey, Moderator; Craig McCann, Joseph Peiffer. Autocallable Structured Notes have exploded and issuers are becoming more creative. Learn about the variety of products and the potential for investor harm.

Special Considerations When Handling A Reg BI Case (11:15 am – 12:15 am) PT

Location: Aragon Ballroom I&II
Special Considerations When Handling a Reg BI Case – Melanie Cherdack, Moderator; Angela Turiano, Sander Ressler, August Iorio. This panel will discuss how handling a Reg BI claim differs from a suitability claim. We will also discuss recent Reg BI enforcement actions and regulatory exam priorities as well as common Reg BI compliance issues. We will address how these can be used in trying a Reg BI case.

Membership Meeting And Lunch (12:15 pm – 1:15 pm) PT

Membership Meeting And Lunch
Location: Aragon Ballroom I&II

Working with Class Action Attorneys (1:30 pm – 2:30 pm) PT

Location: Aragon IIIAB
Working with Class Actions Attorneys – Adam Polk, Moderator; James Jaconnette, Scott Silver, Elizabeth Kramer. Referring cases, etc. How to make money? Getting case starters in to talk, etc. NDAs. ID class actions that exist, negotiating, etc. the reverse can also be true, class actions referring intakes out. How do PIABAns make money?

Where Securities and Insurance Products Overlap (1:30 pm – 2:30 pm) PT

Location: Aragon IIIC
Where Securities and Insurance Products Overlap – How to Plead and Win These Cases – Melinda Steuer, Moderator; Kendra Canape, Alan Besnoff, Robert Rikard. This panel will discuss claims involving hybrid insurance/investment products including variable and indexed annuities and variable and indexed universal life. Topics of discussion will include what claims to bring, who to bring them against, case theories, common defenses, and damages.

Nuts and Bolts of Broker-Dealer Successor Liability (1:30 pm – 2:30 pm) PT

Location: Aragon Ballroom I&II
Nuts and Bolts of Broker-Dealer Successor Liability – David Neuman, Moderator; Leyna Goro, Joshua Kons. Have you filed a claim against a BD that went out of business and was bought by another firm? Our panelists will discuss issues to consider about holding the corporate successor liable for your client’s losses.

FINRA’s Eligibility Rule: History and Application of FINRA Rule 12206 (2:45 pm – 3:45 pm) PT

Location: Aragon IIIAB
FINRA’s Eligibility Rule: History and Application of FINRA Rule 12206 –

Jonathan Kurta, Moderator, Robert Van De Veire, Derek Anderson, Adam Weinstein. Our panelists will discuss FINRA Rule 12206 motions to dismiss through the lens of both claimants and respondents. Specifically, our panelists will cover the impact that the type of security at issue has on the eligibility analysis and how arguments may differ in light of the unique characteristics of different investments.

An Update Regarding Strategies and Law in Crypto Cases (2:45 pm – 3:45 pm) PT

Location: Aragon IIIC
An Update Regarding Strategies and Law in Crypto Cases – Daren Luma, Moderator; Robert Cornish, Kevin Osborne. Cryptocurrency is a rapidly emerging asset class and technology still in a early stage of development. The law and regulations concerning crypto are in an almost constant state of flux trying to keep up with crypto’s rapid changes. This session will primarily focus on different types of claims that can be brought against crypto issuers, crypto exchanges and third party aiders and abettors. In addition, the session will also discuss some of the emerging trends and recent developments in the crypto legal and regulatory landscape, and what this means for the future of crypto.

Elder Abuse Claims for Third Party Scams (2:45 pm – 3:45 pm) PT

Location: Aragon Ballroom I&II

Elder Abuse Claims for Third Party Scams –

Adam Gana, Moderator; Michael Bixby, Catherine Mustico, Esther Cho. Broker-dealer and Investment Adviser Responsibility for supervising elder abuse and scams orchestrated by third parties. How to plead the claims, what legal claims can be brought and how to win these claims.

From The Defense Bar Perspective (4:00 pm – 5:00 pm) PT

Location: Aragon Ballroom I&II
From the Defense Bar Perspective – Andrew Stoltmann, Moderator; David Markun, Ellen Slipp, Howard Tescher, Peter Fruin. This session will analyze issues related to claim drafting, discovery practices, hearing and mediation techniques from the perspective of some of the top securities defense lawyers in the country.

Women’s Happy Hour (5:15 pm – 6:45 pm) PT

Location: Aragon Terrace West

Welcome Reception (7:00 pm – 9:00 pm) PT

Location: Aragon Lawn

THURSDAY, SEPTEMBER 26, 2024

Breakfast (7:30 am – 9:00 am) PT

Location: Aragon Terrace West

Congressional Updates- Congressman Jonathan Jackson (8:15 am – 09:00 am) PT

Location: Aragon Ballroom I&II

What to Know About Options Cases (9:00 am – 10:00 am) PT

Location: Aragon IIIAB
What to Know About Options Cases – Jason Kane, Moderator; Joshua Kons, Robert Lawson. A brief review of what they are, how they work, and most importantly, what to look for at the intake stage, through discovery, and what to show triers of fact in order to maximize the value of your case.

How to Address Motions to Vacate or Confirm an Arbitration Award (9:00 am – 10:00 am) PT

Location: Aragon IIIC
How to Address Motions to Vacate or Confirm an Arbitration Award – Samuel Edwards, Moderator; David Miller, Gail Boliver. This session will deal with the law and mechanics of either vacating or confirming an arbitration award in court. We will discuss state vs. federal arbitration rules, law surrounding vacating or confirming an arbitration award and the strategies of when to seek to confirm, when to seek to vacate and how to fight a baseless motion to vacate your award.

Things You Should Be Doing But Are Not (9:00 am – 10:00 am) PT

Location: Aragon Ballroom I&II
Things You Should Be Doing But Are Not – Practice Tips and Tricks – Courtney Werning, Moderator; Jamie Scivley. Join us for an engaging and informative session designed to elevate your practice to the next level. “Tips and Tricks of the Trade: What You Aren’t Doing But Should Be” will delve into the overlooked strategies and innovative techniques that can significantly enhance your effectiveness as a securities arbitration attorney. Whether you are new to the field or a seasoned professional, you will leave this session equipped with actionable tips and a fresh perspective on handling your cases.

Compliance and Supervision of Registered Investment Advisers (10:15 am – 11:15 am) PT

Location: Aragon IIIAB
Compliance and Supervision of Registered Investment Advisers – Alan Rosca, Moderator; Thomas Mauriello, Ron Heakins. The investment advisor’s secular transition from traditional wire houses to registered investment adviser (“RIA”) firms is changing the financial industry landscape and significantly impacting the investors’ paths to legal redress when their advisers engage in misconduct. The traditional FINRA arbitration model no longer applies: the duties, relationships, regulatory frameworks, forums, and procedural rules are different, as are many other important aspects of cases on behalf of investors against an RIA firm. This session is intended to address some of those differences, with a focus on the following topics: Supervision of outside sales by investment advisers; Due diligence by RIA firms; RIA duties under state and federal law and preemption arguments; Conflicts of interest and disclosures; Disclosures regarding adviser background & integrity; Damages and application of the economic loss rule.

Using State Statutes to Amplify Your Client’s Damages Claim and Target Additional Defendants (10:15 am – 11:15 am) PT

Location: Aragon IIIC
Using State Statutes to Amplify Your Client’s Damages Claim and Target Additional Defendants – Lance McCardle, Moderator; Jason Burge, Mike Yan. In this session, the Panel will discuss how to use different states’ statutes to increase Claimants’ damages models, as well as to bring in secondarily liable parties. The Panel will cover Blue Sky laws, Elder Abuse statutes, and Unfair Trade Practice Acts, among other sources of statutory liability for brokers.

Artificial Intelligence and Its Impact on Our Practices (10:15 am – 11:15 am) PT

Location: Aragon Ballroom I&II
Artificial Intelligence and Its Impact on Our Practices – Patricia Vannoy, Moderator; Chase Skipper, Patrick McEuen. Artificial Intelligence is becoming more predominant in all areas of our practices. This session will help us become more familiar with terminology and how to use AI to better assist our clients.

Jeopardy Ethics (11:30 am – 12:30 pm) PT

Location: Aragon Ballroom I&II
Jeopardy Ethics – Laura Dunning, Moderator; Grace Van Hancock, Anthony Duckett, Hannah Ross. This interactive ethics hour will help all participants work with both their client and opposing counsel.

Cocktail Hour (6:00 pm – 7:00 pm) PT

Location: Aragon Lawn

President’s Dinner (7:00 pm – 9:00 pm) PT

Location: Aragon Ballroom I&II

Casino Night And Fundraiser (9:00 pm – 11:00 pm) PT

Location: Aragon III

FRIDAY, SEPTEMBER 27, 2024

Breakfast (8:30 am – 10:30 am) PT

Location: Aragon Lawn

Closed Session: AAA Arbitration (10:15 am – 11:15 am) PT

Location: Aragon Ballroom I&II
Closed Session on AAA Arbitrations and JAMS – Benjamin Edwards, Moderator; Brandon Reif, Bruce Friedman, Jennifer Rego. FINRA dispute resolution no longer stands alone as a forum for investor arbitrations. With financial advisers increasingly shifting to registered investment adviser models, their pre-dispute arbitration agreements increasingly designate alternative forums. The panel will discuss investor arbitration within the American Arbitration Association forum (AAA) and how it differs from the FINRA dispute resolution forum. The panel will discuss arbitrator selection, expense mitigation, choices between AAA rule sets, and the process AAA uses to set rules for its forum.

Mediator Roundtable (11:15 am – 12:15 pm) PT

Location: Aragon Ballroom I&II
Mediator Roundtable – Scott Greco, Moderator; Tracey Salmon-Smith, Ellen Slipp, Scott Douglas, Jeff Abrams, Lowell Haky. Our distinguished panel of experienced mediators and practicing counsel will discuss timely mediation topics, best practices, tips, how to prepare for the mediation, how to avoid a mediation stalemate, how to overcome intransigent clients and opposing parties, and how to get to “Yes” (with “Yes” being a good settlement for your clients).

Board Meeting (12:30 pm) PT

Location: El Biz