IBDC 2016/2017 Conference Content

Tell us what you thought

Click here for Survey

Presentations

2017

As the Cycle Turns

Feminomics
Lisa Kaess
Founder and Producer

File: As the Cycle Turns


Reducing Risk of Enforcement Actions Through Exam Preparation

Marshall Dennehey Warner Coleman & Goggin
Samuel E. Cohen, Esquire
John P. Quinn, Esquire

File: Reducing Risk of Enforcement Actions Through Exam Preparation


Social Media & Digital Communication Trends

Lloyd, Gray, Whitehead & Monroe
Mickey B. Wright
Heather R. Demyan

File: Social Media & Digital Communication Trends


The DOL Fiduciary Rule — Updates & Possible Unintended Consequences

Lewis Brisbois
Connie Anderson
Michael Obert

File: The DOL Fiduciary Rule — Updates & Possible Unintended Consequences


Insurance – Potential Conflicts and How to Handle Them

Kutak Rock
Gilbert W. Boyce
Victoria H. Buter
Christopher P. Parrington

File: Insurance – Potential Conflicts and How to Handle Them


Variable Annuities: Regulatory and Litigation Trends

Murphy & McGonigle
Andrew Melnick, Esq.
Elizabeth Del Cid, Esq.

File: Variable Annuities: Regulatory and Litigation Trends


Mediation in Securities Arbitration Cases: Avoid the White Walkers

Kaufman Dolowich & Voluck
Gregg Breitbart, Partner
David Baugh, Partner

File: Mediation in Securities Arbitration Cases: Avoid the White Walkers


Cyber – What you need to know

Integro
Sheri Pontolillo
Managing Principal

File: Cyber – What you need to know


Defending Alternative Products

Freeman Mathis & Gary
Samuel Edgerton, III
Partner
Chad Weaver
Partner

File: Defending Alternative Products


An Update on the Enforcement of Non- Compete and Non–Solicitation Clauses

Reminger Co., L.P.A
Andrew J. Dorman, Brian P. Nally, and Sean T. Needham

File: An Update on the Enforcement of Non- Compete and Non–Solicitation Clauses


Senior Investor Regulatory Rules and Compliance Practices

Winget, Spadafora & Schwartzberg, LLP
Brandon S. Reif, Managing Partner
Benjamin J. Biard, Managing Partner

File: Senior Investor Regulatory Rules and Compliance Practices


Looking Ahead

Freeman Freeman & Smiley, LLP
Richard D’Amura, Esq.
Partner

File: Looking Ahead


Webinar: Yesterday’s Synergies are Today’s Conflicts

Compliance Risk Concepts
Mitch Avnet
CEO & Managing Partner of Compliance Risk Concepts

File: Webinar: Yesterday’s Synergies are Today’s Conflicts


How to Avoid Paying for Ocean Front Property in Arizona: Mitigating Selling Away Claims

Collins & Lacy, P.C.
Brian A. Comer

File: How to Avoid Paying for Ocean Front Property in Arizona: Mitigating Selling Away Claims


The Arbitration Toolbox

Jennifer Stout, President/CEO, Bates Group
Atea Martin, Vice President, Berkshire Hathaway Specialty Insurance
Andrew Dorman, Esq., Reminger Attorneys at Law
Moderator: David Birnbaum, Managing Director, Bates Group

File: The Arbitration Toolbox


2016

Welcome and Opening Remarks

Independent Broker Dealer Consortium
Lilian Morvay, Founder and Principal

File: Welcome and Opening Remarks


The Fly-By on Cy-Fi: A 10,000 foot overview of blended
Financial Services and Cyber E&O Coverage

Aspen Insurance – Diamond Sponsor
Ross Herlands
Michael Colford

File: Financial Services and Cyber E&O Coverage


Closing Remarks

Independent Broker Dealer Consortium
Lilian Morvay
Principal and Founder

File: Closing Remarks


Myths and Fables: Getting Ahead of Preconceived Notions
and Bias to Defend the Actions of Securities Professionals

Goodell Devries Leech & Dann
Jeffrey J. Hines
Christopher M. Corchiarino

File: Myths and Fables


Emerging Claim Trends

Winget Spadafora & Schwartzberg
Michael Schwartzberg
Derek Anderson

File: Emerging Claim Trends


Building a Defensible Arbitration – Step by Step

Reminger
Andy Dorman
Brian Nally
Atea Martin, Berkshire Hathaway

File:  Building a Defensible Arbitration


When FINRA Comes a Knocking 

Baugh Dalton Carlson
Jim Yong

File: When FINRA Comes a Knocking


Lassoing Jason Bourne: Broker Dealer Supervisory Obligations
of Dually Registered Agents

Collins & Lacy
Brian Comer
Presentation Forthcoming

File:  Lassoing Jason Bourne


Winning Strategies to Maximize Your Impact from Expert Witnesses

Bates Group
Jennifer Stout
David Birnbaum

File: Expert Witnesses

The New DOL Fiduciary Rule and the Best Interest Contract Exemption

Marshall Dennehey Warner Coleman & Goggin
Joel Wertman
Jeffrey Chomko

File: DOL Fiduciary Rule


E&O Market Update: How to Win in this Dynamic Environment

Integro
Sheri Pontolillo

File: E&O Market Update


Dinner Keynote Address

Feminomics
Lisa Kaess

File: Dinner Keynote Address


FINRA and SEC Hot Topics   

Kaufmann Dolowich Voluck
Gregg Breitbart
Stefan Dandelles

File: FINRA and SEC


SEC Enforcement Actions  

Markun Zusman Freniere & Compton
Ed Zusman

File: SEC Enforcement Actions


Documentation: The Key to a Good Defense

Lloyd, Gray, Whitehead and Monroe
Mickey Wright
Heather Demyan

File: Good Defense


Elderly and Vulnerable Investors

Saretsky Hart Michaels & Gould
Gary Saretsky
Eric Michaels

File: Elderly and Vulnerable Investors


Issues in Supervising Registered Representatives who are also RIA’s

Lewis Brisbois Bisgaard & Smith
Connie Anderson
Michael Obert

File: Supervising Registered Representatives


Written Supervisory Procedures: A Roadmap to Victory
(for Claimants)

Wiand Guerra King
Peter King
Dionne Fajardo

File: Written Supervisory Procedures


How to Prevent Your Customer Dispute Claim from Turning
from an Ant Hill into a Mountain

Kutak Rock
Chris Parrington
Victoria Buter
Gil Boyce

File: Prevent Customer Dispute Claim


The Fly-By on Cy-Fi: A 10,000 foot overview of blended
Financial Services and Cyber E&O Coverage

Aspen Insurance – Diamond Sponsor
Ross Herlands
Michael Colford

File: Financial Services and Cyber E&O Coverage


ORGANIZATIONS REPRESENTED

Platinum Sponsors

Gold Sponsors