Broker/Dealers Defense Forum On

Prevailing Against Customer Claims

Strategies for Discovery, Arbitration Hearings and Proceedings

Tuesday, May 24, 2005

About

Enforcement from state AGs, the SEC and SROs are all fueling the growing threat of customer claims. Do you have the knowledge and practical strategies needed to prevail in your next proceeding?

Customer claims against broker-dealers continue to rise at an alarming rate, with no relief in sight. And as the six-year eligibility rule from the 2000 market crash closes in, the climate will get worse before it gets better. Moreover, with the ongoing litany of corporate scandal and the ensuing loss of investor confidence, an increased disciplinary focus by the SROs, and customers continually seeking the high water mark in awards, defending against these claims is increasingly daunting.

American Conference Institute has developed the Prevaling Against Customer Claims publication that will give you inside knowledge on:

  • Selecting an effective arbitration panel for your case
  • Arbitration hearing tactics and strategies for minimizing damages
  • Keeping discovery costs down while avoiding enforcement fines
  • Finding and utilizing the right expert witnesses for your defense
  • Limiting your liability for independent broker misconduct
  • Maintaining ethical standards while defending your client
  • Contents & Contributors

    About

    Enforcement from state AGs, the SEC and SROs are all fueling the growing threat of customer claims. Do you have the knowledge and practical strategies needed to prevail in your next proceeding?

    Customer claims against broker-dealers continue to rise at an alarming rate, with no relief in sight. And as the six-year eligibility rule from the 2000 market crash closes in, the climate will get worse before it gets better. Moreover, with the ongoing litany of corporate scandal and the ensuing loss of investor confidence, an increased disciplinary focus by the SROs, and customers continually seeking the high water mark in awards, defending against these claims is increasingly daunting.

    American Conference Institute has developed the Prevaling Against Customer Claims publication that will give you inside knowledge on:

  • Selecting an effective arbitration panel for your case
  • Arbitration hearing tactics and strategies for minimizing damages
  • Keeping discovery costs down while avoiding enforcement fines
  • Finding and utilizing the right expert witnesses for your defense
  • Limiting your liability for independent broker misconduct
  • Maintaining ethical standards while defending your client
  • Contents & Contributors


    REGULATORY DEVELOPMENTS IN SECURITIES ENFORCEMENT: WHAT WILL DRIVE THE NEXT WAVE OF CUSTOMER CLAIMS
    Robert Clemente, Liddle & Robinson LLP

    MEDIATION EXPERIENCES HINDSIGHT CAN BE EDUCATIONAL
    David Robbins, Kaufmann, Feiner, Yamin, Gildin & Robbins LLP

    THE ROLE OF INSURANCE IN SECURITIES ARBITRATION
    David Benfield, Hartford Financial Products
    David Jarvis, Wachovia Securities, LLC
    Jonathan Weber, AIG Inc.
    Luigi Spadafora, Winget, Spadafora & Schwartzberg LLP

    DEFENDING CLAIMS OF ANALYST'S CONFLICTS IN A CHANGING SOCIETY
    Jonathan Uretsky, Phillipson & Uretsky, LLP

    SELECTING AN EFFECTIVE ARBITRATION PANEL FOR BROKER/DEALER CLAIMS
    Robert Clemente, Liddle & Robinson LLP

    AVOIDING LIABILITY ON CLEARING CLAIMS
    Jonathan Kord Lagemann, Law Offices of Jonathan Lagemann

    CLEARING ARRANGEMENTS
    Henry Minnerop, Sidley Austin Brown & Wood LLP

    KEY ISSUES RELATING TO ELECTRONIC DISCOVERY
    Stephen Younger, Patterson, Belknap, Webb & Tyler LLP

    "YOU REALLY LIKE ME!" SOME STRATEGIES FOR WINNING OVER ARBITRATIONS
    Pete Michaels, Michaels & Ward LLP

    WINNING OVER THE ARBITRATORS: STRATEGIES FOR DEFENSE COUNSEL BEFORE AND DURING ARBITRATION HEARINGS; MINIMIZING THE IMPACT OF PRO-CLAIMANT DECISIONS ON THE BROKER-DEALER
    Bill Singer, Gusrae, Kaplan, Bruno & Nusbaum, PLLC

    (EXCERPT OF) NASDR PROPOSED RULE CHANGES TO PROVIDE WRITTEN EXPLANATIONS AND ARBITRATION AWARDS
    Daniel Taub, Bear, Stearns & Co. Inc.

    WHEN A BROKER GOES BAD, WHERE DOES THE BUCK REALLY STOP?
    Ernie Badway, Saiber Schlesinger Satz & Goldstein LLC

    CONDUCTING ARBITRATIONS IN THE MIDST OF LITIGATION OR GOVERNMENT INVESTIGATION
    David Gourevitch, The Law Office of David U. Gourevitch, P.C.

    "CAN'T GET NO SATISFACTION!" HOW EXPLAINED DECISIONS WILL UNDERMINE THE ARBITRATION PROCESS
    Aegis Frumento, Duane Morris LLP

    MAINTAINING ETHICAL STANDARDS IN SECURITIES ARBITRATIONS
    Faun Phillipson, Phillipson & Uretsky, LLP

    SECURITIES MEDIATION: THE FIGHT TO SETTLE?
    David Picon, Proskauer Rose LLP

    HOW MUCH IS A CASE WORTH, AND HOW DI YOU KNOW? A SYSTEMATIC APPROACH TO SETTLEMENT VALUATIONS
    Aegis Frumento, Duane Morris LLP



    DOCUMENT TYPES: PRESENTATIONS AVAILABLE: 0