Annual Meeting Brochure 2010 Sponsor by pengxiang


									PIABA IS THE ONLY ASSOCIATION DEVOTED SOLELY TO ADDRESSING CLAIMANTS’                            Reasons you should attend

The PIABA Securities Law Seminar and Annual Meetings provide two separate oppor-               General session and professional
tunities for registrants to review and discuss securities law and arbitration issues.             development breakouts on
Securities arbitration and litigation practitioners, as well as professionals and represen-       numerous securities law and
tatives from all segments of the securities arena convene annually for the four-days of           arbitration topics
meetings to address the impact of the securities markets, federal and state legislative
changes, court rulings, SRO rule proposals and SEC approvals to their practices.               Keep up to date on important
Approximately 325 securities professionals attended the 2009 PIABA Annual Meeting                 securities industry hot topics and
in Carlsbad, California.                                                                          issues

                                                                                               Continuing legal education
LEADING PRACTITIONERS AND EXPERTS IN THE SECURITIES FIELD WILL FOCUS ON                           programs earning you up to a
                                                                                               Networking with professionals and
The meetings, sponsored by Public Investors Arbitration Bar Association, are designed             leaders in the securities litigation
to provide a variety of general sessions and break-outs for securities arbitration and            and arbitration fields
litigation attorneys and professionals. The Securities Law Seminar is a one-day
program focusing on specific trends and developments in securities law and litigation.         Exhibitor and sponsor
Held over three days, the PIABA Annual Meeting provides in-depth presentations and                opportunities – reach hundreds
discussions related to securities arbitration. By bringing together all segments of the           of securities professionals
securities field at the PIABA Annual Meeting, PIABA seeks to develop and promote a
greater understanding of claimants’ issues among securities professionals.                     The PIABA 19th Annual Golf
                                                                                                  Tournament will be played on
PROFESSIONAL DEVELOPMENT WORKSHOPS, NUMEROUS CONTINUING LEGAL                                     the Sawgrass TPC course!
                                                                                               Three evening receptions, plus
                                                                                                  the President’s Dinner on Friday
More than 30 plenary and break-out sessions will explore such topics as common                    Evening
defenses to customer claims, regulatory reforms affecting arbitration, legal standards
for arbitrator challenges, suitability, private investments, structured products, and on-      PIABA only meets once annually
going duties after the securities sale. The new FINRA Discovery Guide, damages,                   – Miss a year, Miss a lot!
representing wealthy and sophisticated investors, employee related issues, Regulation
D, registered investor advisor and financial planner issues, plus two ethics sessions will
also be addressed at the 2010 PIABA Annual Meeting.

             PIABA MEETINGS
                   Securities Law Seminar
                      October 13, 2010
                     19th Annual Meeting
                    October 14 - 16, 2010
                   Marketing Opportunities at PIABA 2010
About the Meeting
The annual PIABA Meeting provides a forum for review and discussion
of the securities market, regulation, litigation and arbitration issues.
Representatives from the securities industry convene for the three-day
event to address the impact of market regulation as well as other
important securities litigation and arbitration issues. About 325
securities arbitration professionals attended the 2009 PIABA Meeting
in Carlsbad, California.

The Annual Meeting is designed to provide a variety of general
sessions and break-outs for PIABA members, regulators, accountants,
and other experts and consultants. By bringing together all of the
segments of the securities industry which deal with securities law,
litigation and arbitration, the conference develops and promotes a
greater understanding of securities issues among our professionals.
                                                                                Exhibitor Benefits
Reach Your Target Market                                                        Exhibitor fee is $1,400 per booth and includes:

Help your business or organization grow with PIABA’s Exhibitor &                   One 8x10 booth space, with electrical outlets,
Sponsorship opportunities:                                                           skirted table and chairs
                                                                                   One FREE meeting registration
    More than 300 attendees are expected                                         Two (2) additional company representative
    Increase your competitive edge in the legal market                             registrations at REDUCED rate of $750
    Introduce and advance new products & services                                Company name and website link on PIABA
    Gain opportunities for new customers                                           meetings website
    Reinforce relationships with existing customers                              Company name/logo in Annual Meeting
    Gain valuable exposure with professionals from numerous                        brochure and Meeting Program Guide
      industries and backgrounds
                                                                                   Pre-show attendance roster
    Affordable exhibitor & sponsorship fees
                                                                                   Final meeting attendee roster

      PIABA Members are interested in the following products:
           Advertising Products                   Financial Services
                                                                                Exhibit Schedule
       Alternative Dispute Resolution        Information/Online Services                                 Wednesday, October 13, 2010
                                                                                                              Exhibit Hours: 5 - 8 pm
            Answering Services                   Insurance Products

        Audiotapes and Videotapes               Litigation Support and                           The Exhibition opens during the evening’s
                                                  Research Services                                   Exhibitor's Welcome Reception. Food
     Books, Magazines, and Periodicals
                                                   Office Services
                                                                                 stations and bars will be set up throughout the exhibition
        Case Management Software                                                    area to offer attendees and vendors an opportunity to
                                         Online Services/Email/Internet Media          network during the Exhibitor's Welcome Reception.
       Computer Graphics Services
                                                Legal Filing Systems
            Computer Software                                                                              Thursday, October 14, 2010
                                              Legal Marketing Services                                      Exhibit Hours: 8 am - 5 pm
            Consumer Products
                                              Legal Publishing Services
         Court Reporting Services                                                                  The Exhibition hours take place all day,
                                           Structured Settlement Services        including during the Continental Breakfast, luncheon and
     Demonstrative Evidence Materials
                                                 Video Conferencing                   morning and afternoon breaks. Luncheon included.
           Education Programs
                                                  Web Site Design                                             Friday, October 15, 2010
          Expert Witness Services
                                                                                                           Exhibit Hours: 8 am - 12 pm

Reserve Your Space Today                                                                 The Exhibition continues throughout the morning,
                                                                                   including the Continental Breakfast and morning break.
Space is now available! Reserve your space today! Please contact                       Exhibitors are invited to participate in the afternoon
Tiffany Zachary at 888.621.7484 or for priority              sponsored PIABA events. Normal event charges will apply.

                              WWW.PIABA.ORG     • CONTACT 888.621.7484 TO RESERVE YOUR SPACE TODAY.
     PIABA 2010 Sponsorship Opportunities
        SPONSORSHIP                                                         PRIMARY BENEFITS                                                                   COST

EXHIBITOR’S WELCOME                      Company logo on signage at reception during beverage and hors d’oeuvres service;                       $6,000 (exclusive)
RECEPTION                                open to all meeting registrants                                                                        $2,000 (shared, limit 3)

PIABA OPENING RECEPTION                  Company logo on signage at buffet, bar and dining table areas during beverage and                      $6,000 (exclusive)
                                         hors d’oeuvres service; open to all meeting registrants                                                $2,000 (shared, limit 3)

PIABA LUNCHEON                           Plated luncheon. Signage will display company name and logo on each luncheon table;                    $6,000 (exclusive)
                                         open to all meeting registrants                                                                        $2,000 (shared, limit 3)

PIABA CLOSING RECEPTION                  Company logo on signage at reception buffet, bars and dining table areas during                        $6,000 (exclusive)
                                         beverage and hors d’oeuvres services; open to all meeting registrants                                  $2,000 (shared, limit 3)

In addition to the core benefits listed, the above will receive their logo on screen prior to the Opening General Session/Keynote and various pre-conference promotional campaigns.

CONTINENTAL BREAKFAST                    Company logo on signage at each food and beverage area recognizing your company;                       $4,000 (exclusive)
SPONSORSHIP                              open to all meeting registrants                                                                        $1,500 (shared, limit 3)

REFRESHMENT BREAKS                       Company logo on signage at each break food and beverage area recognizing your                          $4,000 (exclusive)
SPONSORSHIP                              company; open to all meeting registrants                                                               $1,500 (shared, limit 3)

CONFERENCE BAGS                          Company logo and PIABA on bags distributed and carried by meeting registrants                          $3,000 (exclusive)
                                                                                                                                                + cost of 400 tote bags

LANYARDS                                 Company logo and PIABA on each name badge cord distributed to all meeting                              $3,000 (exclusive)
(SOLD / UNAVAILABLE)                     registrants; required to wear to all PIABA sponsored events                                            + cost of 400 lanyards

REGISTRATION BADGE INSERT                Company artwork design/logo and PIABA 18th Annual Meeting designation on bag                           $2,000 (exclusive)
                                         name placard distributed to each registrant                                                            + cost of 400 inserts

REGISTRATION SPONSOR                     Company logo on signage at registration counters, as well as your promotional material                 $2,500 (exclusive)
                                         available for distribution                                                                             + cost of promotional materials

WATER BOTTLE SPONSOR                     Company logo and PIABA printed on water bottles distributed in registration bags to                    $2,000 (exclusive)
                                         use at watering stations, Exhibit Hall and breaks                                                      + cost of 400 bottles

HOTEL ROOM KEY CARDS                     Company name, web site and/or logo displayed on hotel key cards                                        $3,000 (exclusive)
(SOLD / UNAVAILABLE)                                                                                                                            + cost of 500 key cards

CONFERENCE HIGHLIGHTERS                  Company logo and PIABA displayed on highlighters distributed in conference bags                        $2,000 (exclusive)
                                                                                                                                                + cost of 400 highlighters

CONFERENCE PADFOLIOS                     Company logo and PIABA displayed on padfolios distributed in conference bags                           $2,000 (exclusive)
                                                                                                                                                + cost of 400 padfolios

CONFERENCE TEE-SHIRTS                    Company logo and PIABA displayed on shirts furnished to each participant in                            $3,000 (exclusive)
                                         conference bags                                                                                        + cost of 400 tee-shirts

EDUCATIONAL GRANTS                       Education Grants provide funds for PIABA Scholarship Opportunities
                                                                                                                                                $2,000 minimum donation

The above sponsorships include ONE FREE meeting registration fee and exhibitor’s booth. Two additional company employee registrations may be purchased for $750 each. The above
Exhibitors and Sponsors may attend all PIABA Sponsored meetings and events including continental breakfast, luncheons, receptions and the President’s Cocktail Party/Dinner.

GOLF TOURNAMENT                        Company logo on signage at sponsored hole, company name in Program Guide; open to all                      $200 (per hole, limit 18)
HOLE SPONSORSHIP                       meeting registrants who wish to play

TENNIS TOURNAMENT                      Company logo on signage at sponsored event staging area, company name in Meeting                           $200 (shared, no limit)
SPONSORSHIP                            Program Guide; open to all meeting registrants who wish to play

PROGRAM GUIDE ADVERTISING              The Annual Meeting Program Guide is distributed to all PIABA 19th Annual Meeting                           Prices range from
                                       Registrants. For specific information regarding advertising please contact PIABA.                          $250 - $1,950

PIABA MEMBERSHIP                       The 2010 PIABA Membership Directory is distributed to all PIABA Members and others in                      Prices range from
DIRECTORY ADVERTISING                  the securities field. For specific information regarding advertising please contact PIABA.                 $250 - $1,950

                                 WWW.PIABA.ORG             • CONTACT 888.621.7484 TO RESERVE YOUR SPACE TODAY.
PIABA 2010 Exhibitor/Sponsor Terms and Agreement
1. CONTRACT AND POLICIES. The PIABA Meeting shall be governed by these terms and conditions as well as the terms of the exhibitor/sponsor application.
The policies stated here, in the exhibitor/sponsor terms of agreement, constitute a bona fide part of the contract for exhibit space. Meeting
Management (personnel of PIABA) reserves the right to render all interpretations and decisions should any questions arise, and to establish further
regulations as may be deemed necessary to the general success and well being of the meeting and exhibits. All matters and questions not covered in
these policies are subject to the final judgment and decision of meeting management.
2. CONSIDERATION. The cost per booth rental space is $1,400. In consideration for rental of display space for the meeting exhibit, meeting management
will provide he following: one 8' x 10' area, one 6' skirted table and two chairs, basic exhibitor identification sign with company name and table number,
one FREE conference registration and TWO (2) additional company representative registration at REDUCED rate of $750, company name and website link
on PIABA meeting website, company name/logo in meeting brochure and onsite Meeting Program booklet, and PIABA name to use in marketing
materials, pre-show attendance roster, final meeting roster. Audio/visual equipment may be rented directly from the contractor AV company at La Costa.
Display space MUST be paid in advance of set-up.
3. EXHIBIT HOURS. Exhibit registration/set-up is Wednesday, October 13, 2010 and runs from 10 a.m. - 4 p.m. Show hours are Wednesday, October 13th,
from 5 - 8 p.m.; Thursday, October 14th, from 8 a.m. - 5 p.m.; and Friday, October 15th, from 8 a.m. - 12 p.m. Dismantle time is 12 p.m. - 3 p.m. on
Friday, October 15th.
4. EXHIBITOR/SPONSOR MEETING ATTENDANCE. Exhibitors/Sponsors will be furnished with special meeting badges listing the company/organization name,
which MUST be worn during set-up, the exhibits, all PIABA functions and dismantling. All company representatives must complete a meeting registration
form, and pay registration fees prior to set-up.
5. EXHIBITOR/SPONSOR/COMPANY AFFILIATIONS. The two (2) reduced fee conference registrations are limited to company, salaried employees/staff only.
No affiliated, contract, part-time, freelance employees are allowed under reduced registration rate.
6. CARE OF DISPLAY AREA. Construction, decoration and equipment in the display area must conform to Marriott Sawgrass Resort & Spa and City of Ponte
Vedra Beach fire, health and safety codes and ordinances. Packing containers, shipping cartons, or similar materials may not be stored in the exhibition
area. The use of any materials that deface or mar La Costa property is prohibited. Exhibitor/Sponsor is liable for payment and any costs associated with
damage to La Costa property.
7. SPACE ALLOCATION. Exhibit space shall be assigned by meeting management on a first-come, first-served basis. Exhibitor/Sponsor shall confine display
equipment and materials to the allocated space.
8. ASSIGNMENT OF SPACE. Exhibitor/Sponsor may not assign its contract for exhibit space or allow any other person, company, or organization to use any
part of the space, without written permission from meeting management.
9. ADVERTISING BY OTHERS. The exhibition is limited to those persons and their company/organizations which have contracted and paid for exhibitor
space. No other person or company/organization will be permitted to demonstrate a product, solicit orders, or distribute advertising materials at the
10. EXHIBITOR/SPONSOR SIGNS. All exhibitor/sponsor company signs/banners must first be approved by meeting management to insure the integrity of
the meeting is not compromised or that signs are offensive. Any shipping charges for banners or signs left at the conclusion of the meeting are the
responsibility of the exhibitor/sponsor. A pre-paid addressed shipping form must be left with meeting management or the banners/signs will be discarded.
11. REFUND POLICY. A full refund on exhibitor/sponsor fees will be given if cancellation is provided on or before August 2, 2010. After that date, a 50
percent refund will be made if cancellation notice is provided on or before September 10, 2010. No refunds will be issued after that date. A $200 process-
ing fee will be applied to all refunds. All requests must be made in writing to PIABA at 2415 A Wilcox Drive, Norman, OK 73069 or by fax to
12. LIABILITY OF EXHIBITOR/SPONSOR. Exhibitor/Sponsor is responsible for obtaining any and all insurance coverage for its exhibit. Exhibitor/Sponsor
must make provision for the safeguarding of goods it owns, rents or leases from the time they are placed in the displace space until they dismantle. Meet-
ing management shall not be responsible for, or guarantee to exhibitor/sponsor, the safety of exhibit materials against fire, accident, theft, or any loss or
injury whatsoever. Any damage or destruction of others' property or personal injury to others resulting from the conduct of the exhibitor/sponsor, its
agents or employees shall be the exhibitors'/sponsors’ sole responsibility. The exhibitor/sponsor shall indemnify meeting management resulting from the
conduct of the exhibitor/sponsor, its agents or employees. The exhibitor/sponsor shall indemnify meeting management and Marriott, and hold them
harmless from any complaints, lawsuits, or liabilities resulting from conduct of the exhibitor/sponsor.
13. FAILURE TO OCCUPY SPACE/NO SHOWS. If exhibitor/sponsor does not claim or occupy its assigned space before 3 p.m. on October 13, 2010,
meeting management may, at its option, terminate the contract and reassign the space to another exhibitor/sponsor. The defaulting exhibitor/sponsor
will not be entitled to a refund of its rental fee.
14. CANCELLATION BY MEETING MANAGEMENT/INABILITY TO HOLD EXHIBITION. If meeting management cancels the exhibition for causes beyond the con-
trol of meeting management which prevent the planned exhibition, the exhibitor/sponsor will be refunded the entire rental fee. Meeting management will
not be liable for any other expenses the exhibitor/sponsor may incur.
15. EXHIBITOR/SPONSOR MODIFICATION. Meeting management reserves the right to modify at any time the location, size and display limits of a display
area where such modification is for the overall benefit of the exhibition.
16. ACCEPTANCE OF APPLICATION. PIABA Meeting Management reserves the right to solely make the final decision to accept or deny any application for
exhibitor space and/or sponsorship at the PIABA 2010 Meetings. Acceptance of application does not mean endorsement by meeting management of the
applicant's service or product.
17. CONDUCT OF EXHIBITOR/SPONSOR. Meeting management has the authority to prohibit an exhibit from continuing, if at any time the purpose or the
character of the exhibition is jeopardized by the conduct of the exhibitor/sponsor. In the event of an exhibition discontinuation order, meeting manage-
ment will not be liable for any refund of the booth rental fee. Meeting management reserves the right to approve all promotional demonstrations and/or
handouts to be used by exhibitors/sponsors.
18. ENTERTAINMENT POLICY. The purpose of the meeting is education. The strength, reputation and support of the meeting is the result of the commit-
ment to hardworking, intense professional development. While service firms and businesses are free to make business contacts, hospitality suites either
on-site or off-premises are strictly prohibited. Any private parties must not conflict with meeting events. Any private parties must be open to all atten-
dees. Failure to abide by this policy will result in a sanction of prohibition of attendance of all employees or affiliates with the violating company at the
following annual meeting, including but not limited to, registration and attendance, exhibitor status, or sponsorship of any meeting events.
19. INTERPRETATION. Meeting management has total authority of interpretation of these terms and conditions and reserves the right to amend them at
any time for the benefit of the exhibition. Exhibitors/Sponsors and their representatives who violate these terms and conditions or who, in the opinion of
meeting management, conduct themselves unethically, may be dismissed from the exhibition without refund or other appeal and may be excluded from
participation from future PIABA meetings.

                           WWW.PIABA.ORG          • CONTACT 888.621.7484 TO RESERVE YOUR SPACE TODAY.
2010 PIABA 19th Annual Meeting
October 13-15, 2010 • MARRIOTT SAWGRASS RESORT & SPA • Ponte Vedra Beach, Florida

City_______________________________________________ State/Province________________ Zip/Postal Code ________________
Phone _____________________________________________ Fax ______________________________________________________
Contact Person    ____________________________________ Email ____________________________________________________

Booth fee is $1,400 • # Requested ___ Limit 2 booths per company. Booth must fit 8x10 area, larger sizes charged double rate.
Additional representatives $750 • # Requested ___ Limit 2 additional representatives per company.

Type of Sponsorship _________________________________ Cost _$_________ Please check one: O Exclusive O Shared
Type of Sponsorship _________________________________ Cost _$_________ Please check one: O Exclusive O Shared

Name _______________________________________________ Email _____________________________________________
Name _______________________________________________               Email _____________________________________________
Name _______________________________________________               Email _____________________________________________

Please include information as it should appear in promotional materials. To be included in conference materials and online, company logo must
be sent to

Company Name _________________________________________________ Website ____________________________________________
Address ___________________________________________________________________________________________________________
City _______________________________________________ State/Province ___________________ Zip/Postal Code __________________
Phone _____________________________________________ Fax ____________________________________________________________
Contact Person ______________________________________ Email __________________________________________________________
Description of product or service (must be 25 words or less):

I agree to comply with the PIABA Meeting Exhibitor/Sponsor Terms and Conditions Agreement. This application becomes a contract after
being signed by the exhibitor and accepted by PIABA.

Name _______________________________________________________________ Date _______________________________________

      □ Total ___________ □ Check (payable to PIABA, Tax ID # 74-2592278) □ MasterCard □ Visa □ American Express □ Discover
Card # __________________________________________ Exp. ______________ Auth. Code _________ (3 or 4 digit number)
Billing Address __________________________________________________________________________________________
Signature of Card Holder __________________________________________________________________________________

                                                                                               MAIL APPLICATION & PAYMENT
Contact PIABA at 888.621.7484 or Visit
                                                                                               c/o PIABA Annual Meeting for additional conference information and updates.
                                                                                               2415 A. Wilcox Drive
                                                                                               Norman, OK 73069
Thank you for your support of the PIABA 19th Annual Meeting.
                                                                                               Fax Credit Card Payments to 405.360.2063

                         WWW.PIABA.ORG        • CONTACT 888.621.7484 TO RESERVE YOUR SPACE TODAY.

Marriott Sawgrass Resort and Spa is the host hotel for the
PIABA 19th Annual Meeting and Securities Law Seminar. Group
rates start at $169 for PIABA Meeting attendees. Suite upgrades
are available.

All reservations must be made through PIABA to receive the
PIABA group rate. To book your reservation, contact April Bowers
at (888) 621-7484. Reservations must be received on or before
September 10, 2010, and are subject to availability at the time of
booking. Be sure to make your reservation soon as PIABA has
a very limited number of rooms remaining!

Meeting registration fees include all open general sessions, break-
outs, continuing education credit, conference materials, food and     DRESS CODE AND NAME BADGES
beverage group functions, including breakfasts, breaks, luncheons     In general, dress for meetings is casual while business attire is
and the four evening events. You are encouraged to register           appropriate for the President’s Dinner on Friday evening.
early, as space is limited!                                           Comfortable shoes are strongly suggested.

CONFERENCE SESSIONS AND MATERIALS                                     An official PIABA name badge is required to gain admission to
Fully registered meeting attendees may participate in all open        any PIABA program, meal, social event or to utilize any on-site
general sessions and break-outs. 12 break-out sessions are            transportation provided by PIABA. Individuals attending PIABA
scheduled with several sessions being offered twice. Annual           functions without their badge will be asked to retrieve it or leave
Meeting and break-out materials will be available for distribution    the function.
during all open meeting registration hours. Following the conclu-
sion of the meeting, all fully registered PIABA members will be       AIR TRAVEL
able to download the meeting materials for all sessions. This         Marriott Sawgrass Resort and Spa is located 30 minutes south
download is included in the meeting registration fee.                 of the Jacksonville International Airport (Airport Code “JAX”).
                                                                      Major airlines servicing the Jacksonville airport include AirTran,
Purchasing Meeting Materials. If you are unable to attend the         American, Continental, Delta, Frontier, JetBlue, Northwest,
Securities Law Meeting or PIABA Annual Meeting, the written           Southwest, United and US Airways.
materials may be purchased by completing the Meeting Registra-
tion Form and returning it to PIABA. Securities Law Materials are     GETTING AROUND ON THE GROUND
$125; PIABA Annual Meeting Materials are $175. Purchasers             MARRIOTT SAWGRASS RESORT & SPA
receive a 10% discount when ordering both books - $270.00             1000 PGA TOUR Boulevard
(includes postage and handling). Books will be mailed around          Ponte Vedra Beach, Florida 32082
November 1, 2010. Please allow two (2) weeks for delivery.
PIABA members purchasing the meeting materials will be able to        There are a number of services available to transport you from
download the all Annual Meeting materials. This download is           the Jacksonville International Airport to Marriott Sawgrass
included in the purchase price.                                       Resort & Spa, including Carey Transportation, (800) 829-7433
                                                                      (will provide a 10% discount); Gator City Taxi, (904) 741-0008;
GUESTS REGISTRATION FEES                                              American Airport Shuttle, (904) 382-7769; Bon Voyage
The guest registration fee is $550 and includes the food and          Transportation, (904) 233-4547; Express Shuttle, (904) 353-
beverage group functions for those fully registering as a PIABA       8880; EZ Airport Shuttle, (904) 741-3740; or Pearl Executive
guest. The fee does not include conference materials, attendance      Shuttle, (888) 997-3275. For more information on shuttle
at any scheduled meetings or breaks. Continuing legal education       services, visit
credit will not be earned by those registering as or paying the
guest registration fee.                                               There are a number of on-airport car rental companies including
                                                                      Alamo/National Car Rental, (904) 741-4580; Avis Rent-A-Car,
MEETING REGISTRATION DEADLINE                                         (904) 741-2327; Budget Rent-A-Car, (800) 527-0700; Dollar
The meeting registration deadline is September 10, 2010.              Rent-A-Car, (800) 800-4000; Enterprise Rent-A-Car, (904) 741-
Individuals submitting their registration form and fees after this    6390; Hertz Rent-A-Car, (904) 741-2151; and Thrifty Rent-A-
date will be assessed a $200 per person late fee. Please make         Car, (800) 847-4389.
sure all registration materials are received in the PIABA office no
later than September 10, 2010. Walk-in registrations will be          From Jacksonville International Airport
accepted on a space available basis and are subject to the $200       (approx. 30 minute drive)
per person late registration fee.                                     Driving Directions: Take I-95 South to second exit. The sign
                                                                      reads 9A & Blount Island (Exit 362A). Follow 9A to Butler Boule-
CANCELLATION POLICY                                                   vard, SR 202, and go East on Butler Boulevard East until it
Cancellations received on or before September 10, 2010 will           ends at A1A. Veer right onto A1A (South) and follow 3.5 miles
receive a full refund less a $200 processing fee. No refunds will     to the Sawgrass Marriott Resort & Spa. Turn right on PGA Tour
be issued for cancellations received on or after September 11th,      Blvd. The hotel is on the left.

              WWW.PIABA.ORG          • CONTACT 888.621.7484 TO MAKE YOUR RESERVATION TODAY.
PIABA MEETINGS                                    AND        EXHIBITOR SCHEDULE
   7:30 am           Securities Law Seminar Registration
   8:15 am           Continental Breakfast
   8:50 am           Securities Law Seminar, Welcome and Introductions
   9:00 am
   10:00 am
                     Securities Law Round-Up
                     Arbitration Law Update                                                   Exhibitor
   11:00 am          Break
   11:15 am
   12:15 am
                     Confidentiality in Arbitration
                     Luncheon                                                                 Schedule
   1:30 pm           Ethical Issues Practitioners May Encounter in Mass-
                     Arbitration Securities Matters and Other Issues of Interest
   2:30 pm           Selling Away
   3:30 pm           Break
   3:45 pm           Current Legislation and SRO Rule Proposals                         Wednesday, October 13, 2010
   4:45 pm           Question and Answer session with all speakers                           Exhibit Hours: 5 - 8 pm
   5:15 pm           Adjourn                                                                    The Exhibition opens with
   5 - 8 pm          PIABA Exhibitor Welcome Reception
                     (Food and beverage served 5:30 - 7:30pm)                                    the evening’s Exhibitor’s
                                                                                                Welcome Reception. Food
THURSDAY, OCTOBER 14, 2010                                                                       stations and bars will be
   7:30 am           Registration / Continental Breakfast                                           set up throughout the
   8 am - 5 pm       PIABA Exhibitor Expo
                                                                                                   exhibition area to offer
   8:30 am           President’s Welcome Address, Scott R. Shewan
   8:45 am           NASAA Report and Roundtable                                                   attendees and vendors
   9:15 am           Q & A with FINRA                                                           an opportunity to network
   10:15 am          FINRA Fraud Detection & Whistle Blower                                          during the Exhibitors
   10:45 am          Break
   11:00 am          The Regulators - Discovery and Other Information                                 Welcome Reception.
   12:00 pm          Member Luncheon & Business Meeting, Closed
   12:30 pm          Expert’s Roundtable, Open
   1:30 pm           Representing Wealthy & Sophisticated Investors
                     (a/ka/ Mega Cases)
   2:30 pm           Break
   2:45 pm           Break Out Session (5, 7, 9, 11)                                       Thursday, October 14, 2010
   3:45 pm           Adjourn                                                                 Exhibit Hours: 8am - 5pm
   12:00 - 2:00 pm   Guests Meet & Greet Luncheon                                               The Exhibition hours take
   4:15 - 7:00 pm    PIABA Tennis Tournament                                                place all day, including during
   7:30 - 9:30 pm    PIABA Welcome Reception                                                   the Continental Breakfast,
                                                                                               box luncheon and morning
                                                                                                    and afternoon breaks.
   7:30 am           Registration / Continental Breakfast
   8 am - 12 pm      PIABA Exhibitor Expo
   8:30 am           Ethics
   9:30 am           Break
   9:45 am           Break Out Session (2, 3, 6 10)
   10:45 am          Break
                                                                                              Friday, October 15, 2010
   11:00 am          Break Out Session (1, 5, 8)
   12:00 pm          Adjourn                                                                 Exhibit Hours: 8am - 12pm
                                                                                                  The Exhibition continues
   12:30 - 6:00 pm   PIABA Golf Tournament
   7:00 - 10:00 pm   President’s Cocktail Reception and Dinner
                                                                                                   throughout the morning,
                                                                                                 including the Continental
                                                                                            Breakfast and morning break.
   8:00 am           Registration / Continental Breakfast
   9:00 am           Break Out Session (9, 10, 11)
   10:00 am          Break
   10:15 am          Break Out Session (2, 3, 4)
   11:15 am          Discovery Issues - New Discovery Guide & Subpoenas
   12:00 pm          PIABA Luncheon
   1:15 pm           Comprehensive Discussion of Damages
   2:45 pm           Issues Facing the Claimant’s Attorney in Securities Arbitration      Meeting Sessions and Speakers are
   3:45 pm           Adjourn                                                           subject to change without prior notice.

   7:00 - 9:00 pm    PIABA Closing Reception

              WWW.PIABA.ORG        • CONTACT 888.621.7484 TO MAKE YOUR RESERVATION TODAY.
WEDNESDAY, OCTOBER 13, 2010                                                   warranting additional review and investigation will be subject to
   Securities Law Round-Up, Stuart Cohn (9:00 am - 10:00 am)                  expedited regulatory response.
   This session will discuss developments over the past year in
   substantive securities law, including Supreme Court                        The Regulators - Discovery and Other Information,
   decisions, federal cases, and Blue Sky case law.                           Robert A. Uhl, Moderator; Jeffrey Sonn (11:00 am - 12:00 pm)
                                                                              Addresses a multitude of considerations that are assocaited
    Arbitration Law Update, David E. Robbins                                  with the discovery of documents that are produced to various
    (10:00 am - 11:00 am)                                                     regulatory agencies in connection with their investigation of
    This session will discuss important developments over the                 misconduct in the broker-dealer community.
    past year in arbitration law, including Supreme Court and
    other federal court decisions interpreting the Federal                    Expert’s Roundtable, Open
    Arbitration Act, key state law developments.                              Sidney D. Krasner, Moderator (12:30 pm - 1:30 pm) Discussion
                                                                              among consultants and experts about managing and growing
    Confidentiality in Arbitration, William A. Jacobson                       their practices; improve their knowledge and skills; utilize re-
    (11:15 am - 12:15 pm)                                                     sources cost-effectively; and employ the best ethical practices.
    This session will cover issues of confidentiality which arise
                                                                              Representing Wealthy & Sophisticated Investors (a/k/a
    during arbitration, including provisions in the FINRA
                                                                              Mega Cases), Glenn Gitomer, Moderator; Samuel Edwards;
    arbitration code, arbitrator authority to order confidentiality,          J. Boyd Page; John Finnerty (1:30 pm - 2:30 pm)
    confidentiality agreements regarding discovery, settlement                Arbitrating large cases against the industry presents a whole
    agreements.                                                               host of issues and strategies different than those confronted in
                                                                              the typical customer case. Whether representing partnerships,
    Ethical Issues Practitioners May Encounter in Mass-                       pension funds, hedge funds or institutions, the arbitration
    Arbitration Securities Matters and Other Issues of                        forum provides the benefits of a streamlined, fairly motion free
    Interest, Lisa Catalano (1:30 pm - 2:30 pm)                               process, while sacrificing discovery available in litigation. The
    This session will explore the ethical obligations and                     session will address the pleading, discovery and arbitration
    considerations that are associated with the multi-party                   strategies best suited to representing claimants in these cases.
    representation and other issues of interest.
                                                                         FRIDAY, OCTOBER 15, 2010
    Selling Away, Birgitta Siegel (2:30 pm - 3:30 pm)                        Ethics, Christine Chung; Moderator; Wayne Klein
    This session will cover seminal judicial and regulatory                  (8:30 am - 9:30 am) Ethical issues for the securities arbitration
    decisions, as well as arbitration awards, dealing with former            practitioner.
    or current brokers selling away from a member firm. Special
    attention will be given to recent regulatory investigations.         SATURDAY, OCTOBER 16, 2010
                                                                            Discovery Issues - New FINRA Discovery Guide
    Current Legislation and SRO Rule Proposals,                             & Subpoenas, Steven B. Caruso, Moderator (11:15 am - 12:15 pm)
    Angela Magary (3:45 pm - 4:45 pm)
                                                                            The session will address the new FINRA Discovery Guide
    This session will cover current legislative and SRO rule
                                                                            including subpoenas and their impact on claimant’s cases.
    proposals governing securities arbitration, including the
    Arbitration Fairness Act and arbitration provisions in
                                                                              Comprehensive Discussion of Damages
    securities legislation.                                                   Frederick Rosenberg, Moderator; C. Thomas Mason; Thomas Ajamie;
                                                                              Eddie O’Neal (1:15 pm - 2:15 pm). Discussions include calcula
    Question and Answer Session, All Speakers                                 tion of damages across a variety of cases, eligibility issues,
    (4:45 pm - 5:15 pm)
                                                                              NOPs, retirement cases, VMAD, disgorgement of fees and
   NASAA Roundtable, Peter Mougey, Moderator;
                                                                              Issues Facing the Claimant’s Attorney in Securities
    David Massey, NASAA President; Joseph Borg (8:45 am - 9:15 am)
                                                                              Arbitration, Closed, Robert S. Banks, Jr., Moderator; Mark E.
    Highlights of the recent and current initiatives of the North
                                                                              Maddox (2:45 pm - 3:45 pm)
    American Securities Administrators Association, Inc.
                                                                              Free range discussions regarding case strategies, trial
    Features NASAA leadership and members discussing
                                                                              tactics, settlement negotiation and other case related issues.
    Congressional, SEC, FINRA and NASAA initiatives relating
    to investor arbitration.
                                                                         BREAK-OUT SESSION DESCRIPTIONS
                                                                         1.   Commodities - Differences Between FINRA & NFA,
    Q & A with FINRA, Ryan Bakhtiari, Moderator; Jason Doss;
                                                                              Scott Silver, Moderator; Louis Burke (10/15/10: 11:00 am - 12:00 pm)
    Linda Fienberg; Richard Berry (9:15 am - 10:15 am)
                                                                              This session will address the advantages and disadvantages
    Discussion will include arbitration issues, rule changes and
                                                                              of arbitrating before the NFA and CFTC, how to evaluate a
    rule proposals at FINRA.
                                                                              commodities case, effective arbitration and settlement
                                                                              strategies particular to commodities cases, and the hot issues
    FINRA Fraud Detection & Whistle Blower,
    Speakers to be announced (10:15 am - 10:45 am)                            in commodities arbitration.
    Addresses FINRA's Fraud Detection and Whistleblower
                                                                         2.   Demonstrative Exhibits, Hugh Berkson, Moderator; Elizabeth
    Office formed to expedite the review of information about                 Falk (10/15/10: 9:45 am - 10:45 am; 10/16/10: 10:15 am - 11:15 am)
    potentially illegal or unethical activity so that senior staff can        A moderated panel discussing what are the most persuasive,
    quickly assess the level of risk involved. Insures tips                   informative, and analytical exhibits. Includes charts, tables and

             WWW.PIABA.ORG            • CONTACT 888.621.7484 TO MAKE YOUR RESERVATION TODAY.
             WWW.PIABA.ORG            • CONTACT 888.621.7484 TO MAKE YOUR RESERVATION TODAY.
     graphs used by PIABA Members. Addresses issues raised in                                   FOOD AND BEVERAGE GROUP FUNCTIONS
     opposition to the use of demonstrative exhibits.
                                                                                           SECURITIES LAW SEMINAR BREAKFAST AND LUNCHEON
3.   Employee Related Issues, Steven L. Miller, Moderator; Gregory                         Only individuals registered for Securities Law may attend the
     Tevis; Pearl Zuchlewski; Leonard Steiner; Scot Bernstein
                                                                                           Wednesday breakfast, luncheon, meeting, and receive CLE
     (10/15/10: 9:45 am - 10:45 am; 10/16/10: 10:15 am - 11:15 am)
     Includes discussion of promissory note defense; U-5 defama-
     tion and litigation; public policy violations; wrongful termination,                  EXHIBITOR WELCOME RECEPTION
     and dealing with regulators.                                                          Following the conclusion of the Securities Law Seminar,
                                                                                           PIABA will host a wine and cheese reception for all meeting
4.   Firm Defense Tactics, Brian Smiley, Moderator; James Eccleston;                       participants and their registered guests so that they may
     Robert S. Banks, Jr. (10/16/10: 10:15 am - 11:15 am)
                                                                                           meet our exhibitors and sponsors. Door prizes will be pro-
     Addresses effective presentation of claims against firms and
                                                                                           vided! (Wednesday, October 13, 2010; Exhibit Hours: 5:00 pm - 8:00
     will discuss both the documents and strategies that will                              pm; Reception Hours: 5:30 pm - 7:30 pm; Location to be announced;
     enhance your ability to prove your case as well as the                                dress: casual; wine and cheese.)
     resources - internet and otherwise - that exist.
                                                                                           PIABA ANNUAL MEETING BREAKFAST EVENTS
5.   Medical Capital and Provident Royalties, David Harrison,                              Throughout the Annual Meeting, breakfast is included in the
     Moderator; Jeffrey Kaplan; Craig McCann                                               registration fee for all full registered PIABA Annual Meeting
     (10/14/10: 2:45 pm - 3:45 pm; 10/15/10: 11 am - 12 pm)                                registrants and guests. Join fellow registrants prior to the
                                                                                           start of meetings each day. (Thursday, Friday & Saturday, see
6.   Ethical Issues in Multi-Claimant Cases, Joseph Peiffer,                               meeting agenda for times; Location to be announced; dress: casual;
     Moderator; Robert Pearl (10/15/10: 9:45 am - 10:45 am)                                food: continental breakfast)
     This session will discuss the ethical implications that are
     associated with the representation of multi-claimants in a                            PIABA ANNUAL BUSINESS MEETING               & LUNCHEON
     single arbitration proceeding including various considerations                        PIABA will hold its Annual Business Meeting on Thursday,
     that are applicable to the discovery and hearing phases.                              October 14th. Agenda items include the President's Report
                                                                                           and Election of Board Members. (Thursday, October 14, 2010;
7.   New Practitioners, Part A - Intake and Arbitrator Selection,                          12:00 pm - 1:30 pm; Closed; Lunch included; Location to be announced;
     Richard Lewins, Moderator; Richard Berry (10/14/10: 2:45 pm -                         dress: casual)
     3:45 pm) Covers case evaluation, writing statements of claim,
                                                                                           Non-Members are invited to attend the Expert’s Roundtable
     arbitrator selection, and common mistakes by claimants
                                                                                           or enjoy their lunch in the Exhibitor’s Hall. (Thursday, October 14,
     counsel.                                                                              2010; Luncheon - 12:00 pm - 1:30 pm, Location to be announced; dress:
8.   New Practitioners, Part B - Discovery, Karen van Ingen,
     Moderator; William A. Jacobson (10/15/10: 11:00 am - 12:00 pm)                        PIABA OPENING RECEPTION
     Covers hearing preparation, including the discovery process.                          Welcome to all PIABA registrants and guests! We are glad
                                                                                           you are here and hope you have an enjoyable and enlighten-
9.   Reg D & Private Placements, Jenice Malecki, Moderator;                                ing time as you renew old friendships, make new acquain-
     Frederick Rosenberg; Phil Cottone; Charles Bennett                                    tances and visit with your colleagues. The Welcome Recep-
     (10/14/10: 2:45 pm - 3:45 pm; 10/16/10: 9:00 am - 10:00 am)
                                                                                           tion is open to PIABA Meeting registrants, sponsors and ex-
     Discusses private placement investments including how                                 hibitors. (Thursday, October 14, 2010; 7:30 pm - 9:30 pm; Location to
     products often carry high commission loads, why they may be                           be announced; casual attire; food: heavy hors d'oeuvres)
     unsuitable for your clients, and the application of SEC
     Regulation D.                                                                         PRESIDENT'S DINNER AND AWARDS CEREMONY
                                                                                           Join us as we honor outgoing PIABA President, Scott R.
10. RIA & Financial Planner Cases, Robert Goehring, Moderator;                             Shewan and welcome incoming PIABA President, Peter J.
     David Keogh; Howard Rosenfield (10/15/10: 9:45 am - 10:45 am;                         Mougey. The evening begins with a cocktail reception fol-
     10/16/10: 9:00 am - 10:00 am)
                                                                                           lowed by the President's Dinner and Awards Ceremony. All
     Addresses licensure, registration, supervision, liability, includ-
                                                                                           registrants and their registered guests are cordially invited to
     ing arbitration strategies and SOCs in support of discovery
                                                                                           attend this event. (Friday, October 15, 2010; 7:00 pm - 10:00 pm;
     requests targeting claims based upon type of service provided.                        Location to be announced; recommended dress: Business Attire)
     Systems, support, reporting and management strategies.
                                                                                           PIABA   19TH ANNUAL MEETING LUNCHEON
11. Broker Theft Cases, N. Henry Simpson, Moderator; Braden                                All meeting registrants, sponsors and exhibitors, including
     Sparks; Robert Lowry (10/14/10: 2:45 pm - 3:45 pm;                                    their registered guests, are invited to attend this luncheon.
     10/16/10: 9:00 am - 10:00 am)                                                         (Saturday, October 16, 2010; 12:00 pm - 1:15 pm; Location to be
     A look at the nature of ‘broker theft claims’ and how to analyze                      Announced; dress: casual)
     and plead. Defenses presented, what discovery to obtain, role
     of experts and expert witness testimony. How to present                               CLOSING RECEPTION
     claims at hearing, maxmizing the benefits (and minimizing the                         We invite you to relax, bask in the scenery and enjoy the
     pitfalls) of parallel criminal proceedings and related subjects.                      food and drink as PIABA hosts its closing event. All meeting
                                                                                           registrants, sponsors and exhibitors, including their regis-
Audio and video taping of conference events, general sessions and break-outs is strictly
prohibited. PIABA reserves the right to change speakers and/or topics at any time for
                                                                                           tered guests are invited to attend. (Saturday, October 16, 2010;
any reason. PIABA reserves the right to restrict attendance at any session for any rea-    7:00 pm - 9:00 pm; Location TBA; dress: casual attire; food: dinner)
son. Updated information and scheduling will be posted at

                 WWW.PIABA.ORG                • CONTACT 888.621.7484 TO MAKE YOUR RESERVATION TODAY.

Send this form to:                                                                    Reservation Deadline: September 10, 2010
PIABA Annual Meeting
2415 A. Wilcox Drive                                                            All hotel reservations shall be coordinated by PIABA. To reserve a
Norman, OK 73069                                                                room, you may fax or mail this form to PIABA or complete the
Fax: (405) 360-2063                                                             on-line form at Go to PIABA Meetings. Select
                                                                                2010 PIABA Hotel Reservation Form. All reservations must be
The Headquarters Hotel for the PIABA 19th Annual Meeting is Marriott            received by September 10, 2010 to insure a reservation at the
Sawgrass Resort & Spa located in Ponte Vedra Beach, Florida. A block            group rate. The hotel reserves the right to charge the market rate
of rooms at special meeting rates are reserved for meeting attendees.           for rooms that are booked after the cutoff date, currently $319 per
Room rates are $169 for single or double rooms. GROUP RESERVA-                  night.
ABLE AFTER THE SEPTEMBER 10, 2010 CUTOFF DATE.                                  Hotel Confirmations: Confirmation of your requested date(s)
                                                                                depends upon room availability at the time your request is received.
Convention rates are subject to limited availability. City and state taxes      Your return confirmation will indicate the exact date(s) of your reser-
apply, currently 9%. The Sawgrass Marriott is pleased to offer compli-          vation. A minimum one night’s deposit is required to hold your
mentary in-room coffee, daily newspaper, 24 hour access to the Main             reservation. Such deposit shall serve to confirm the reservation for
Building Health Club, Cabana Club Beach Access, including individual            the date(s) indicated, and shall be applied to the final night of the
hotel transportation to the Cabana Club Beach, Golf and Sawgrass                confirmed reservation.
Shopping Village.
                                                                                                For more information, visit
RESERVE YOUR ROOM SOON!!                                                                   

                                     PIABA 12th Annual Securities Law Seminar · October 13, 2010
                                            PIABA 19th Annual Meeting · October 14-16, 2010
                               Headquarters Hotel, Sawgrass Golf Resort & Spa Marriott, Ponte Vedra Beach, FL

Room reservations may be made ON-LINE, by mail or fax as                        PAYMENT INFORMATION
detailed. All changes to a confirmed reservation must be
received in writing by PIABA on or before September 10, 2010.                  □ Visa           □ MasterCard         □ Amex         □ Discover
Please type or print clearly                                                   Name on Card__________________________________________
First Name:_____________________________________                               Card Number __________________________________________

Last Name:_____________________________________                                Expiration Date_________________________________________
                                                                               Billing Address _________________________________________
No. in Party: ____ Sharing with: ____________________
                                                                               Billing Zip Code ________________________________________
Firm/Company: _________________________________                                V-Code_______________________________________________
Address:_______________________________________                                Cardholder’s Signature___________________________________

City:______________ State: ______ Zip ode:__________                          Please reserve my room as indicated:
                                                                              □ Single/Double (one king bed) -                   $169.00
Phone: (_____)__________________________________
                                                                              □ Double/Double (two beds) -                       $169.00
Fax:     (_____)__________________________________                            □ Island Green Villa Suites -                      $224.00
E-mail: ________________________________________                              □ Small Parlor, Front View -                       $349.00
Arrival Date:____________________________________                             □ Small Parlor, Front/Back View -                  $349.00
                                                                              □ Large Parlor, Pool/Lagoon View -                 $349.00
Departure Date: _________________________________
                                                                              □ Bedroom Island Green Villa Suite -               $393.00
Hotel Cancellation /Change Policy: All hotel reservation cancellation        Late Arrival Policy: In the event you do not arrive at the hotel on the
and/or change requests must be received, in writing, by PIABA on or          first confirmed night of your reservation, you will be responsible for
before September 10, 2010. Cancellation and/or change notice may be          payment of all hotel charges for each confirmed night of your
sent by mail, e-mail or fax. Should cancellation or a change to the          reservation.
reservation be received on or after September 10, 2010, you remain
responsible for payment of all hotel charges for the entire reservation      Early Departure Policy: Your deposit will be applied to the last
period and, you hereby expressly authorize PIABA to charge your credit       confirmed night of your reservation. In the event of your departure
card for any hotel charges that may be incurred in connection with the       from the hotel before the last confirmed night(s) of your reservation,
cancellation or change. No shows will be charged the full room revenue       the deposit will be non-refundable and you will still be responsible for
for the dates of the reservation by Sawgrass Marriott .                      payment of all hotel charges for each confirmed night of your

I hereby authorize PIABA to reserve a room for the PIABA Annual Meeting to the above referenced credit card. Further, I hereby authorize PIABA
to charge my credit card for any hotel charges that may be incurred in connection with the cancellation, late arrival and/or early departure policies
as stated above.

Name (printed)_________________________________________________________________Date______________________________

2010 PIABA                      MEETING REGISTRATION FORM
Register online at or return completed form to:
PIABA Annual Meeting                                                                        REGISTRATION DEADLINE
2415 A Wilcox Drive
Norman, OK 73069
Fax: (405) 360-2063
                                                                                               SEPTEMBER 10, 2010

ATTENDEE INFORMATION:           Complete and return one form for each attendee.
Please type or print clearly

First Name:___________________________________ Last Name:_____________________________________
Firm/Company: ______________________________________________________________________________
State Bar Number (s): _________________________________________________________________________
City:____________________________________ State: __________________ Zip Code:___________________
Phone: (_____)_______________________________ Fax:                    (_____)__________________________________
E-mail: ______________________________________ Website: _______________________________________
Name (as it is to appear on badge):_______________________________________________________________

ANNUAL MEETING - 10/14/10 - 10/16/10                            Special Dietary Requirements
REGISTRATION FEES* (All Prices are in U.S. Dollars)             □ Kosher
                                                                □ Vegan
                                On or Before    On or After
                                                                □ Fish or Chicken
Registration Options:            09/10/2010     09/11/2010
                                                                □ Other ______________________________________
PIABA Member                      □ $1,150       □ $1,350
Expert, Mediator                  □ $1,300       □ $1,500
                                                                I am a:
Non-Member                        □ $3,500       □ $3,700
                                                                □ First Time Attendee
NASAA                             □ $ 625        □ $ 825
                                                                □ New PIABA Member
Regulatory                        □ $ 625        □ $ 825
Student                           □ $ 625        □ $ 825

Guest**                □ $ 550       □ $ 750                    PAYMENT INFORMATION
Name: ______________________________________
Guest Email: _________________________________                      □ Visa           □ MasterCard         □ Amex        □ Discover
                                                                Name on Card__________________________________________
With Annual Meeting    □ $ 350                   □ $ 450        Card Number __________________________________________
Without Annual Meeting □ $ 450                   □ $ 550        Expiration Date_________________________________________
                                                                Billing Address _________________________________________
ADDITIONAL EVENTS:                               Billing Zip Code ________________________________________
□ PIABA 19th Annual Golf Tournament ___@ $250.00
    Handicap _________________
    □ Club Rental __Left __Right    ___@ $ 80.00 Cardholder’s Signature___________________________________
    □ Shoe Rental                   ___@ $ 20.00
    Foursome:                                    Cancellation/Refund Policy: Cancellations received in
_____________________ _____________________ writing by PIABA on or before 9/10/2010 will receive a full
                                                                refund less a $200 processing fee. No refunds will be issued
_____________________               _____________________ for cancellations received on or after 9/11/2010.

□ PIABA Tennis Tournament                      ___@ $ 50.00     *PIABA reserves the right to reject and/or limit entry into any meeting
                                                                by any person at any time. PIABA may, at its discretion and for any
    ____ Beginner ____ Experienced                              reason, charge the non-member registration fee.

□ Guest Meet & Greet                           ___@ $ 00.00     **Includes Annual Meeting breakfasts, luncheons, receptions and
                                                                President’s Dinner

Total Registration Fee                 $___________
(including additional events)                                     FOR MORE INFORMATION ON WHAT IS INCLUDED IN EACH REGISTRATION
                                                                               TYPE, PLEASE VISIT WWW.PIABA.ORG

           WWW.PIABA.ORG            • CONTACT 888.621.7484 TO MAKE YOUR RESERVATION TODAY.
    PIABA ANNUAL MEETING EVENT REGISTRATION                              PIABA Golf Tournament Registration Form

                                                                         Name ________________________________________________________
The 19th Annual PIABA GOLF TOURNAMENT begins 12:30
pm on Friday, October 15, 2010 at THE PLAYERS Stadium                              Handicap ______________               Beginner _________________
Course, TPC Sawgrass. (Friday, October 15, 2010; 12:30 - 6:00
pm; The TPC Players Course; dress: collared shirt required; cost -                 I will need to rent clubs (cost is $80):   Left _____ Right _____
$250.00, including box luncheon; Shoe Rental - $20; Club Rental -
$80)                                                                     Name ____________________________________________________
Designed by Pete Dye, THE PLAYERS Stadium Course is
                                                                                   Handicap ______________               Beginner _________________
ranked among the top 80 golf courses in the world, accord-
ing to Golf Magazine, and ranked #1 by Travel & Leisure                            I will need to rent clubs (cost is $80):   Left _____ Right _____
among the Best Resort Courses in Florida. Created to
challenge the best players in the world, TPC Sawgrass also               Foursome:
provides avid golfers with an unforgettable experience.                      _________________________                   _________________________
Don’t miss this once-in-a-lifetime opportunity to play THE
PLAYERS Stadium Course at TPC Sawgrass!                                       _________________________                  _________________________

The PIABA TENNIS TOURNAMENT is Thursday, October 14,                     Tennis Registration Form
2010. Participants will meet at 4:15 pm in the hotel lobby to
                                                                         Name _______________________________________________________
be transported to the Tennis Facility where they will kick off
with a warm-up session. The Club Pro will pair players,                            Experienced____________               Beginner ________________
based on ability level to play four to five twenty minute
rounds, rotating after each round. Scoring will be posted                Name _______________________________________________________
after each round. Awards for first and second place finishers
will be presented at the Closing Reception on Saturday eve-                        Experienced____________               Beginner ________________
ning. (Thursday, October 14, 2010; 4:15 - 7:00 pm; Tennis Courts
@ ATP; recommended dress: tennis attire; cost $50)

                                                                         PIABA Guest Luncheon Registration Form
PIABA GUEST LUNCHEON - Whether you are a veteran
PIABA annual meeting guest or new to this years meeting,                 Name ________________________________________________________
you are invited to join the PIABA Guest Luncheon. This is
your opportunity to see old friends and make new ones! All
registered guests are welcome to attend. There will be                   Email Address _________________________________________________
prizes, but you must be present to win! (Thursday, October 14,
2010; 12:00 - 2:00 pm; Location: to be announced; Dress: Casual)         For more information regarding these events, contact the PIABA office or visit
                                                                         the PIABA website at

                       CONTINUING EDUCATION
PIABA has applied for continuing education accreditation from the                                                                    PRSRT STD
following states and organizations. For approval updates on con-         2415 A Wilcox Drive
                                                                                                                                    U.S. POSTAGE
tinuing education accreditation please visit and           Norman, OK 73069
select MCLE Information.                                                                                                                 PAID
                                                                                                                                     Permit No. 310
In general, registrants may expect to receive six (6) hours of CLE
credit, including one (1) ethics hour for Securities Law and, 12-14
hours of CLE credit, including one (1) to two (2) ethics hours for the
Annual Meeting. Registrants requiring professional credit should
contact PIABA for further information and assistance (these are
estimates and subject to final approval of each accrediting agency).                                                  RETURN SERVICE REQUESTED

Alabama              Missouri             South Carolina
Arizona              Nevada               Tennessee
California           New York             Texas
Colorado             Minnesota            Utah
Florida              Mississippi          Virginia
Georgia              North Carolina       Washington
Illinois             Indiana              West Virginia
Iowa                 Ohio                 Wisconsin
Kansas               Oklahoma             Wyoming
Kentucky             Oregon
Louisiana            Pennsylvania
Maine                Rhode Island

Professional Organizations:
Certified Financial Planner

                         continuing legal education accreditation will
                          be sought in other states requiring CLE as
                        registrations from these states are received.

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