Attorneys

2014 Securities Symposium

November 5, 2014

Thanks to all those who attended this year's Securities Symposium!  We are grateful to each panel member for their insight into issues faced by the industry.  Materials from the symposium are available below.

Program
PowerPoint Presentation

Panel I: Alternative Products

  • Defining “Alternative,” “Complex” and “Non-Traditional” Products
  • Pre-Sale Obligations: Reasonable Basis Suitability
  • Point of Sale Obligations: Customer Suitability

Moderator
Phil Stanton - Officer
Greensfelder, Hemker & Gale, P.C.

Panelists
Scott DeArmey - District Director, Kansas City
FINRA

David Hebner - Managing Counsel
Wells Fargo Advisors

Terry Lister - Senior Vice President/Chief Regulatory Officer
Waddell & Reed, Inc.
Ivy Funds Distributor, Inc.

Rob Moses - Sr. Managing Director & General Counsel
First Allied Securities, Inc.

José Santillan - Industry Expert
U.S. Securities and Exchange Commission

Panel Materials
Alternative Products Panel Outline

Panel II: Ethical Considerations for the Internal Investigation and Beyond

  • Initiating the Investigation - Practical Considerations
  • Conflicts of Interest and Joint Representation
  • Preserving - and Waiving - Privilege
  • Regulatory/Enforcement Considerations

Moderator
Tim Huskey - Associate General Counsel
Scottrade, Inc.

Panelists
Dave Bartholomew - Principal & Sr. Associate General Counsel
Edward D. Jones & Co. L.P.

Jane Matoesian - Vice President & Counsel
Benjamin F. Edwards & Company

Jennifer Relien - Vice President & Associate General Counsel
AIG Life & Retirement

Andrew Tuch - Associate Professor of Law
Washington University School of Law
 
Panel Materials
Confidential Treatment Language by State 1-3-11
Confidentiality Language for FINRA Inquiries
Confidentiality Language for SEC Inquiries
Deputizing Memo Template
In re Kellogg Brown and Root Inc.
SEC - FOIA Letter Request Sample
United States ex rel Barko v Halliburton Company
WFS Joint Rep Letter

Panel III: Litigation

  • Making the Most of Your Expert Witness/Mediator
  • Arbitration Update - Expungement, New Restrictions & Other Tips for Success
  • The Biggest Litigation/Arbitration Trends
  • Recent Developments in Competitive Cases & Other Case Law Updates
  • Arbitration v. Court – the Debate Continues

Moderator
Dennis Capriglione - Associate General Counsel
Edward D. Jones & Co. L.P.

Panelists
Clay Grumke - Assistant General Counsel
Wells Fargo Advisors

Wendy Menghini - Officer
Greensfelder, Hemker & Gale, P.C.

Courtney Rogers Reid - Senior Counsel
AIG Advisor Group

Karen Wentzell - Attorney/Mediator

John West - Consultant
West Consulting, LLC

Panel Materials
Baker-Bristol
Citigroup-Abbar
FINRA Response to PIABA Arbitrator Study
FINRA Rule 12300
FINRA Rule 13300
FINRA Rules 2080 and 2081 re Expungement
NTM 14-27
NTM 14-31
NTM 14-40
PIABA 2014 Arbitrator Study
Raymond James-Phillips
Scheffel Financial Services Inc. v. Heil

Panel IV: Tackling Financial Exploitation and Abuse of Accountholders

  • Elder Abuse - How are Firms Identifying and Responding?
  • Working with Government Agencies - Are Resources Available?
  • Suspected Breach of Duty by Agents/Trustees - What Now?

Moderator
Jennifer Davis - Officer
Greensfelder, Hemker & Gale, P.C.

Panelists
Joseph Borg - Director
Alabama Securities Commission

Andrew Hartnett - Commissioner
Missouri Securities Commission

Mary Shea Tucker - Manager, Elder Client Initiatives
Wells Fargo Advisors

Panel Materials
AARP - Overview of Findings - Financial Advisors' Experiences with Clients and Diminished Capacity
Elder Abuse and Its Prevention: Workshop Summary - Elder Financial Abuse - Ronald Long, J.D., Regulatory Affairs, Wells Fargo Advisors, LLC
Protecting the Elderly from Financial Fraud and Exploitation White Paper for the Elder Justice Coordinating Council (November 2, 2012)
Elder Abuse Protection Toolkit
The United States Department of Justice Elder Justice Initiative Website