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Independent Broker Dealer Consortium


Battle Of The Experts

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

Date: April 22, 2021
Time: 3:00 pm
Duration: 1.15 Hour
Where: Zoom Screen From the Comfort and Safety of your home
Past Webinar

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.

Lefkowitz, Ressler, and Schwartzberg will delve into:.
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?
How involved should an expert be in preliminary case evaluations and preparation of the defense:
  • Should experts be involved in preparing answers?
  • Should experts be involved in preparing witnesses for mediation and/or arbitration?
  • Should experts attend mediations?
What are the benefits of having an expert present during the entire arbitration hearing?
This presentation will not be recorded.

Speakers For This Presentation Are Ibdc-riac Alliance Members:


Lilian A. Morvay

Principal and Founder of IBDC-RIAC

Miriam Lefkowitz, Esq

Expert/Securities Regulatory Attorney
Sander-Ressler (1)

Sander Ressler

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

Michael Schwartzberg

Webinar Moderator - Partner, Winget Spadafora Schwartzberg
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