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PIABA IS THE ONLY ASSOCIATION DEVOTED SOLELY TO ADDRESSING CLAIMANTS’ Reasons you should attend REPRESENTATION ISSUES IN SECURITIES LAW AND ARBITRATION . . . 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 CURRENT TRENDS AND RECENT DEVELOPMENTS IN SECURITIES ARBITRATION AND years worth of CLE LITIGATION. . . 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! EDUCATION PROGRAMS, NETWORKING OPPORTUNITIES, AND MUCH MORE . . . Three evening receptions, plus YOU DON’T WANT TO MISS PIABA 2010! 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 firstname.lastname@example.org for priority sponsored PIABA events. Normal event charges will apply. sign-ups. 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 exhibition. 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 405.360.2063. 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 EXHIBITOR/SPONSOR APPLICATION FORM EXHIBITOR/SPONSOR INFORMATION Company/Organization__________________________________________________________________________________________ Address______________________________________________________________________________________________________ City_______________________________________________ State/Province________________ Zip/Postal Code ________________ Phone _____________________________________________ Fax ______________________________________________________ Contact Person ____________________________________ Email ____________________________________________________ EXHIBITOR BOOTH INFORMATION Booth fee is $1,400 • # Requested ___ Limit 2 booths per company. Booth must fit 8x10 area, larger sizes charged double rate. Additional representatives $750 • # Requested ___ Limit 2 additional representatives per company. SPONSOR EVENT INFORMATION Type of Sponsorship _________________________________ Cost _$_________ Please check one: O Exclusive O Shared Type of Sponsorship _________________________________ Cost _$_________ Please check one: O Exclusive O Shared LIST COMPANY REPRESENTATIVES USING FREE CONFERENCE REGISTRATION & TWO REDUCED REGISTRATIONS Name _______________________________________________ Email _____________________________________________ Name _______________________________________________ Email _____________________________________________ Name _______________________________________________ Email _____________________________________________ EXHIBITOR/SPONSOR LISTING/LOGO/WEBSITE LINK Please include information as it should appear in promotional materials. To be included in conference materials and online, company logo must be sent to email@example.com. 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): ___________________________________________________________________________________________________________________ ___________________________________________________________________________________________________________________ ___________________________________________________________________________________________________________________ ___________________________________________________________________________________________________________________ TERMS AND CONDITIONS AGREEMENT 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 _______________________________________ PAYMENT INFORMATION □ 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 FOR MORE INFORMATION PIABA Contact PIABA at 888.621.7484 or firstname.lastname@example.org. Visit c/o PIABA Annual Meeting www.PIABA.org 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. 19TH ANNUAL MEETING INFORMATION HOTEL INFORMATION MARRIOTT SAWGRASS RESORT AND SPA 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! CONFERENCE INFORMATION 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 http://www.jia.aero/Ai_Gtrans.aspx. 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 WEDNESDAY, OCTOBER 13, 2010 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. FRIDAY, OCTOBER 15, 2010 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. SATURDAY, OCTOBER 16, 2010 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. PIABA MEETINGS SESSION DESCRIPTIONS 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 commissions. THURSDAY, OCTOBER 14, 2010 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. PIABA MEETINGS SESSION DESCRIPTIONS 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) credit. 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: casual) 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. WWW.PIABA.ORG • CONTACT 888.621.7484 TO MAKE YOUR RESERVATION TODAY. PIABA MEETING HOTEL RESERVATION FORM 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 www.PIABA.org. 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. TION DATES AND RATES ARE NOT GUARANTEED TO BE AVAIL- 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!! www.PIABA.org 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 reservation. 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______________________________ Signature_______________________________________________________________________________________________________ 2010 PIABA MEETING REGISTRATION FORM Register online at www.PIABA.org 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): _________________________________________________________________________ Address:____________________________________________________________________________________ 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__________________________________________ SECURITIES LAW SEMINAR - 10/13/10 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 V-Code_______________________________________________ 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 www.PIABA.org. CONTINUING EDUCATION PIABA 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 www.PIABA.org 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 Attorneys: 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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