Monday, March 10, 2025
Rulemaking – You Have a Great Idea, So How Does it Become a Rule? (12:30 pm-1:35 pm) ET
Zoom Link
Hugh Berkson, Moderator; Stacy Puente, Melanie Lubin, Bria Adams Jeffrey Zaino. “Just make a rule” to address a particular problem is easy and common. But how are regulatory rules actually formed and enacted? We’ll discuss the process of how rules are made and discuss other ways to effectuate change that may (or may not) be a bit easier. Join us for a peek behind the curtain regarding a process that’s rarely understood by our members.
RIAs Need to Supervise Too! (1:35 pm-2:35 pm) ET
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Aaron Israels, Moderator; Courtney Werning, Mike Evans, and Michelle Atlas. Claims against Registered Investment Advisers may be the wave of the future and need to be a part of your practice. This panel will discuss supervisory obligations of Registered Investment Advisers that are not affiliated with a Broker-Dealer and how those claims can differ from supervisory claims filled in FINRA arbitration.
Damages- Let’s Get Damages Your’ Not Getting Now. (2:50 pm – 3:50 pm) ET
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Robert Van De Veire, Moderator; Jeffrey Erez, Adam Weinstein. This panel will explore the nuances and strategies involved in securing non-traditional damages in FINRA arbitrations, beyond the commonly awarded compensatory damages based on net out-of-pocket losses. The discussion will focus on tactics for briefing, arguing, and questioning witnesses with an eye toward obtaining emotional distress damages, well-managed (market-adjusted) damages, punitive damages, attorney’s fees, and treble damages pursuant to statute. Panelists will analyze recent case law, FINRA award trends, and the evidentiary and advocacy challenges unique to these claims.
Fiduciary Duties and ERISA-based Claims in Retirement Accounts – A Rising Trend of Claims (4:05 pm – 5:05 pm) ET
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Joseph Peiffer and Alan Rosca, Moderators; Erin Koeppel, Maureen Thompson, Mike Salmanson. Financial Industry participants such as advisers, brokerage firms, and money managers may have specific duties, and be required to meet certain standards of conduct, as to various types of accounts that hold retirement savings, ranging from ERISA-based fiduciary duties to ensure reasonable charges or rates for the account holders. Learn more about recognizing scenarios that give rise to such duties and standards of conduct, and potential claims and legal remedies arising from their violations.
Lobbying and Practical Guidance to the Hill (Ethics) (5:05 pm – 5:35 pm) ET
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Joseph Wojciechowski, Moderator; Michael Williams. The Do’s and Don’ts of Meeting with Congressional Offices – How not to Lobby and what you should do instead.