Don’t miss the IBDC-RIAC April 22, 2021 webinar from 3:00 to 4:15 pm ET when we present The Battle of the Experts. Attorney and compliance expert, Miriam Lefkowitz, will square off against Sander Ressler, expert witness and the owner of a compliance outsourcing business, as they exchange opposing theories of liability you may hear at a FINRA arbitration. This highly anticipated presentation will be moderated by IBDC-RIAC Alliance Member, Michael Schwartzberg, managing partner of Winget, Spadafora, and Schwartzberg and head of the firm’s Broker-Dealer practice.
When should experts be retained?
When to retain an expert for regulatory investigations and enforcement proceedings;
How should an expert be chosen?
A brief discussion of expert strategies: i.e. Well Managed Portfolio Analysis;
How can arbitration outcomes be influenced by the retention of experts?
Have zoom arbitrations altered the impact experts may have on the arbitrators?
- Should experts be involved in preparing answers?
- Should experts be involved in preparing witnesses for mediation and/or arbitration?
- Should experts attend mediations?
How involved should an expert be in preliminary case evaluations and preparation of the defense:
What are the benefits of having an expert present during the entire arbitration hearing?