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Independent Broker Dealer Consortium


Battle of the Experts: Round 2

An in-depth discussion between two opposing experts in the context of securities litigation and regulatory investigations

Date: December 14, 2021
Time: 4:00 pm
Duration: 1.15 Hour
Where: Zoom Screen From the Comfort and Safety of your home
Past Webinar

Please join IBDC Alliance member, Michael Schwartzberg, managing partner of Winget, Spadafora, and Schwartzberg, on December 14 as he moderates the deconstruction of securities cases involving senior investors and how FINRA’s rules designed to minimize senior exploitation are playing out.  Experts, Miriam Lefkowitz, attorney and compliance and regulatory expert, and Sander Ressler, founder of Essential Edge, a regulatory and legal support service, will offer opposing theories of liability/defense, with insights offered by mediator, Ellen Slipp of ES Mediation Services. 

Our panel of professionals will explore:
How delays in withdrawals under FINRA Rule 2165 can play out in arbitrations
Whether age determines suitability and risk tolerance of elderly investors
Complications with trusted contacts under FINRA Rule 4512
FAs as clients’ trustee or POA
Whether to allow the claimants’ family members/advisors to participate in mediations

Speakers For This Presentation Are Ibdc-riac Alliance Members:


Lilian A. Morvay

Principal and Founder of IBDC-RIAC

Michael Schwartzberg

Webinar Moderator - Partner, Winget Spadafora Schwartzberg

Miriam Lefkowitz, Esq

Expert/Securities Regulatory Attorney
Sander-Ressler (1)

Sander Ressler

Expert Witness and Owner of Essential Edge Compliance Outsourcing Services, LLC

Ellen Slipp

Managing Director and Head of Ellen Slipp Mediation Services
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