IBDC 2016 Conference Content

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Presentations

Welcome and Opening Remarks

Independent Broker Dealer Consortium
Lilian Morvay, Founder and Principal

File: Welcome and Opening 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


Closing Remarks

Independent Broker Dealer Consortium
Lilian Morvay
Principal and Founder

File: Closing Remarks


ORGANIZATIONS REPRESENTED

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Gold Sponsors