IBDC 2016 Conference Content

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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

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

Sheri Pontolillo

File: E&O Market Update

Dinner Keynote Address

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


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