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9/27/2017 » 9/29/2017
2017 PLDF Annual Meeting

Featured Members
Brett A. SmithFee, Smith, Sharp & Vitullo, LLP, Dallas, TX
William A. Scott Jr.Scott, Sullivan, Streetman & Fox, P.C., Birmingham, AL

Committees: Investment Professional Claims

Investment Professional Claims

Committee Chair  Committee Vice Chair
Gary S. Kessler, Esq.  Thomas D. Jensen, Esq.

Kessler Collins P.C.
2100 Ross Avenue
Suite 750
Dallas, TX  75201
 Lind Jensen Sullivan & Peterson, P.A.
901 Marquette Avenue South
Suite 1300
Minneapolis, MN  55402

Overview of the Committee’s Focus:

Errors and omissions and breach of fiduciary duty claims involving financial planners, investment advisors, trustees, stockbrokers, wealth managers and other retirement asset counselors in FINRA proceedings and other venues are a specialty of claim handlers and defense counsel working in this field. 

Factual allegations made by claimant counsel offered in support of the claims may include criticisms of:

• Investment Suitability

• Conflicts of Interest Recognition

• Portfolio Churning or Unauthorized Trading

• Trade Request Execution

• Portfolio Allocation Oversight

• Due Diligence Adequacy

• Nondisclosure of Facts or Advice of Risks

• Tax Advice Propriety

• High Commission Product Preferences

•  Diversification Management

Common law, statutory and regulatory principles that may or may not affect these claims and the current state of the defense art are the special focus of the Professional Liability Defense Federation’s™ Investment Claims Committee. Keeping members informed of federal and state securities regulatory developments affecting investment sellers and managers, e-discovery abuse controls, other investment client privacy protection controls, class action controls, intelligence involving plaintiff expert witnesses, and trial presentation approaches to simplify statistical and financial data are among the charges of this PLDF committee.

Committee members are asked to contribute to article publication, to monitor the PLDF news and respond to member inquiries for assistance, and to assist in annual meeting seminar presentation planning.


Group Feed
chris Jensen joined the group Committees: Investment Professional Claims.
Posted Monday, August 14, 2017
Andrew Carroll, Goldberg Segalla, LLP joined the group Committees: Investment Professional Claims.
Posted Friday, December 2, 2016
Jennifer Hamilton joined the group Committees: Investment Professional Claims.
Posted Tuesday, August 23, 2016
Dean Milber joined the group Committees: Investment Professional Claims.
Posted Wednesday, July 15, 2015
George W. Burbidge II joined the group Committees: Investment Professional Claims.
Posted Tuesday, November 11, 2014
 More »

Recently Updated Profiles
Rob Buccieri, Gary Kessler, Alan J. Taylor, Lisa Tulk, Kevin M. Colmey

Upcoming Events
2017 PLDF Annual Meeting
Wednesday, September 27, 2017

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