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2018 Annual Conference & Membership Meeting

Program / Agenda

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

Friday — July 27, 2018
Time Description
8:00am-Noon
 
Board of Directors Meeting, Board Members Only.
 
   
12:00 - 1:00pm Registration and Buffet Lunch
Members and registered guests.
  1:00 - 1:30 
Annual Membership Meeting
Ross TulmanPresident
 
Election of President-Elect and Directors
Officers' reports
  1:30 - 2:45 
FINRA Update with Richard W. Berry, Esq. Executive Vice President and Director of Dispute Resolution at FINRA (FINRA-ORD) and George Friedman, Esq. member and former Executive VP - Dispute Resolution of the Financial Industry Regulatory Authority. This  lead-off session has been a staple at SER Conferences for many years. We are privileged to have as our guest speaker, Rick Berry, FINRA’s Executive Vice President and Director of Dispute Resolution, to update attendees on rulemaking, transparency efforts, and other ongoing initiatives at the FINRA-ODR facility. This year, George Friedman, a SER member, Fordham University adjunct law professor and frequent commentator on FINRA and other issues, will join the panel.
  2:45 - 3:00 Break.
  3:00- 4:00 
Ponzi Schemes, Broker-Dealers and Registered Investment Advisors
Jordan Maglich, Esq. Senior Associate with Wiand Guerra King, Co-chair of Receivership Practice and Stuart Ober, member. A brief history history and statistics on Ponzi schemes. FINRA Rules and Standards for Broker-Dealers Selling Private Placements. Review of  case studies on Bernard Madoff and on Medical Capital. Discussion of Suspicious Activity Reports.
  4:00 - 4:15  Break.
  4:15 - 5:15
The Evolution of Money Laundering
Paul Pelletier, Esq. former Justice Department prosecutor for 27 years and Robertson Park, Esq. partner with Murphy & McGonigle. Many of us have dealt with compliance issues involving AML, but Paul Pellitier and Robertson Park, both long-time veterans of the Criminal Justice Division of the Department of Justice, will discuss the creation of anti-money laundering laws and how their application has evolved from predominantly drug-related matters to terrorism and other financial crimes.
  5:30 - 6:30
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.
  6:30 - 9:30 

 

Annual Dinner at University Club of Washington DC.
Members and registered guests, invited attorneys. Keynote speaker:
Paul Pelletier on "Why Don't They Throw Financial Executives in Jail".
Saturday — July 28, 2018
Time Description
  8:00 - 9:00am Buffet Breakfast 
Members and registered guests.
  9:00 - 10:00
Damages Part I:
Practical applications including market adjusted remedies, comparative risk analysis, loss causation, appropriate benchmarks, Uniform Securities Act claims, and damages in employment disputes.
Part II:
Let’s talk damages!  Interactive session with members – bring your questions and suggestions!
Chair Ross Tulman; Panelists Peter Bulger, Stan Meyerson.
10:00 - 10:15  Break.
10:15 - 11:15 
What Makes a Good Expert
Steve Crimmins Esq. Murphy and McGonigle Recognized by Best Lawyers as the 2017 Securities Regulation Lawyer of the Year for New York City, Mr. Crimmins will highlight the attributes of a successful expert witness. Joining to provide perspective from the government side is Paul Kisslinger, Esq., Assistant Chief Litigation Counsel for the Enforcement Division of the U.S. Securities and Exchange Commission.
11:15- 12:00 Duties of Fiduciaries I 
Professor Arthur Laby, Esq. Co-Director of the Rutgers Center for Corporate Law and Governance A nationally recognized fiduciary expert and former assistant general Counsel for the U.S. Securities and Exchange Commission, Professor Laby will provide two sessions on the duties of a fiduciary to put his clients’ interests before his own as well as due care with respect investment recommendations.
12:00 - 1:00pm Buffet Lunch
Registered members only.
  1:00 - 2:15 
Duties of Fiduciaries II
Professor Arthur Laby, Esq. Co-Director of the Rutgers Center for Corporate Law and Governance
  2:15 - 2:30  Break.
  2:30 - 4:00 
Best Practices: Open forum discussion with members regarding Engagement letters and written procedures; Qualifications; and effective Practice Management techinques. 
Chair Jerry DeNigris; Panelists Alan Besnoff, Bob Lawson.
  4:00 - 5:00 
Experts Roundtable
Gordon Yale hosts informal but candid "give and take" session. Members can relate case "war stories" to identify issues that are likely to surface during interaction with client's attorney and/or client and during expert deposition, hearing/trial testimony and report writing.
6:00 - 8:30 
Post-Conference add-on Dinner, Ristorante i Ricchi. 1220 19th Street NW
Wrap up your conference experience with a dinner out on the town at a local favorite that has earned "accolades and awards such as the Hottest Restaurant in Washington and One of the Best Italian Restaurants in the World." 

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