2021 Annual Membership Meeting & Conference

Program / Agenda

Members will be notified prior to the conference, when presentation materials will be available for viewing and download.

A reminder that the University Club is currently requiring masks indoors regardless of vaccination status while not actively eating/drinking and that attendees practice physical distancing. You can read more about their protocols here. All attendees and speakers will be required to complete a standard liability release and Health Certification Form online each morning, confirming they are not experiencing Covid-19 symptoms and, to their knowledge, have not had exposure. The Health Certification is the same form and process that FINRA is using for their in-person hearings. Notices were sent to members September 2nd and September 10th.

Friday — September 24, 2021
Time Description
8:00 - Noon
 
Board of Directors Meeting, Board Members Only.
 
   
Noon - 1:00 Registration and Buffet Lunch
Members and registered guests.
1:00 - 1:30
Annual Membership Meeting
Elizabeth FalkPresident
Officers' reports; Election of President-Elect and Directors; Introduction of New Members.
Passing of the gavel to Incoming President, Paul Carroll.
 
1:30 - 2:30
FINRA Update with Richard W. Berry, Esq., Executive Vice President and Director of FINRA’s Office of Dispute Resolution (appearing virtually).  A yearly tradition, where Rick updates members on trends in arbitration, examination and enforcement, including ongoing Zoom vs In-Person hearings.
2:30 - 2:45 Break
2:45 - 3:45
Whistle Blowing for Fun and Profit? Moderator Gordon Yale, member/Yale Forensics. Panelist: Erika A. Kelton, Attorney/Partner at Phillips & Cohen (appearing virtually)Barclay Leib, member/Sand Spring Advisors; Lori Raineri, member/Government Financial StrategiesFrom time to time, in the course of our work, experts discover a variety of securities or other frauds. The panel, composed of experts who have pursued claims and an attorney who represents whistle blowers, will explore a variety of award opportunities and describe the real-world experience of those who have filed claims in a process that is most often frustrating, aggravating, disheartening and sometimes rewarding.
3:45 - 4:00 Break
4:00 - 5:00
Democratization of Markets Moderator Peter Bulger, member/Trade Investments Analysis Group. Panelists: Eric Bensky, Attorney Murphy & McGonigle; John T. Foster, member/Bedford & Main Financial Consulting. Fintech and low fees have created millions of new investors using mobile apps provided by a new breed of broker-dealer. The new investor communicates on social media platforms in a communal environment where “touts” shout out buy and sell suggestions. The panel will give some perspective on how this behavior impacts existing regulatory standards and what responsibilities do regulators and firms have to ensure that the customer understands their trading. Moreover, the discussion will carry on to customer protection versus rights; stress on existing operational institutions such as NSCC and OCC; and, the obligation of firms to monitor suspicious activity. 
6:00 - 6:45
Cocktail Reception
Members and registered guests. Dress code: dress or pant suits for ladies/coat and tie for men.
An opportunity to network, form new friendships and renew/burnish existing ones.
6:45 - 9:30
Annual Member/Guest Dinner at The University Club of Washington, D.C.
Members and registered guests, invited attorneys. Keynote speaker: Pamela Parizek, Managing Director-Business Intelligence and Investigations at Kroll, LLC 
Saturday — September 25, 2021
Time Description
8:00 - 9:00 Buffet Breakfast 
Members and registered guests.
9:00 - 10:00 Demystifying Financial Standards of Care Moderator Kerry Campbell, member/Kerry Campbell LLC. Panelists: Patrick Dennismember/General Counsel, Oyster ConsultingHollie Masonmember/The Brattle GroupCharles Ranson, member/Charles W. Ranson Consulting. 
The continuum of standards of care from self-directed to fiduciary will be discussed. Reg BI, the Investment Advisors Act and the Uniform Prudent Investor Act, among others, will be reviewed. 
10:00 - 10:15 Break
10:15 - 11:15 Should Experts Use Social Media to Improve Their Visibility? Moderator Gontran de Quillacq, member/Navesink International. Panelists: Dennis BoyleAttorneyDr. Gerald GoldhaberGoldhaber Research Associates (appearing virtually)Gary CohenFounder/CEO Speakery. How can experts improve their visibility independently of associations and service providers? Is a social media presence advisable for experts? What are the faux-pas and benefits? What do attorneys and GCs look for online? Panelists include an expert-hiring counsel, an expert witness with an extensive media presence, a marketing strategist working with attorneys & C-levels, an expert witness with an extensive media presence.
11:15 - 11:30 Break
11:30 - 12:30 Perfect and Control Your Practice Interactive Discussion: Geraldine (GG) Genco Dubemember/Geraldine A. Genco ConsultingAlan Besnoff, member/Securities Expert Witness & Litigation Support,LLC. 
12:30 - 1:30 Buffet Lunch
Registered members only.
1:30 - 2:30
The Modern Age of Financial Markets Moderator Gontran de Quillacq, member/Navesink InternationalPanelists: David Aronderivatives lawyer, former partner at McDermott Will & Emery and Special Counsel, Commodity Futures Trading Commission (CFTC); Brett W. Friedman, Managing Partner, Winhall Risk AnalyticsMichael Liftik, Attorney, Quinn Emmanuael. Financial markets have been impacted by crypto currencies, blockchain, social medias, chat rooms, retail trading. This decentralized and digital world attracts a new wave of litigation, but regulations and enforcement agencies are challenged by the changes. Panelists include a derivatives attorney, a senior litigator and top SEC former enforcer.
2:30 - 2:45 Break
2:45 - 3:45 Claimant's or Respondent's Expert - How to Get Retained by Both Speaker Ross Tulman, member/Trade Investments Analysis GroupThis session is designed to test the common belief that experts must pick a side or that an expert creates an inherent conflict by testifying for one side or the other. 
3:45 - 4:45
Experts Roundtable. Incoming President, Paul Carroll, hosts this informal but candid "give and take" session where we open up the floor for members to discuss any issues they have experienced and want to share the wisdom gained or seek feedback from their esteemed colleagues.
6:00 - 8:30
Post-Conference add-on Dinner, Taberna Del Alabardero.
Wrap up your conference experience with a dinner out on the town with colleagues at one of DC's favorite restaurants. Boasting the 2020 Tripadvisor Travelers' Choice and Open Table's 2020 Diners' Choice awards, as well as the 2019 RAMMY award, Taberna Del Alabardero offers the best of traditional Spanish, classic tapas, traditional paellas, fresh fish and premium meat, paired with well known wines and warm hospitality!  (Register by July 23rd and Saturday dinner is complimentary, $125 value!)

~Agenda and times subject to change and will be updated as information is provided.~



Conference Links