- Arbitration - Worxco List Serve

No Arbitration Committee Call Today
by McCardle, Lance C. 16 Apr '24

16 Apr '24

Good morning. We are going to cancel the arbitration committee call scheduled for today. Thanks. -Lance Lance C. McCardle Partner lmccardle(a)fishmanhaygood.com<mailto:lmccardle@fishmanhaygood.com> ------------------------------------------- FishmanHaygood LLP 201 St. Charles Avenue, 46th Floor New Orleans, Louisiana 70170 d: 504.586.5298 f: 1504.949.8216 fishmanhaygood.com This transmittal and attachments may be a confidential attorney-client communication or may otherwise be privileged or confidential. If you are not the intended recipient, you have received this transmittal in error; any review, dissemination, distribution or copying of this transmittal is prohibited. If you have received this transmittal and/or attachments in error please notify us immediately by reply or by telephone (call us collect at 504-586-5252) and immediately delete this message and all its attachments. IRS Circular 230 disclosure: To ensure compliance with requirements imposed by the IRS, we inform you that any U.S. federal tax advice contained in this communication (including any attachments) is not intended or written to be used, and cannot be used, for the purpose of (i) avoiding penalties under the Internal Revenue Code or (ii) promoting, marketing or recommending to another party any transaction or matter addressed herein.

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Re: Tuesday - PIABA Arbitration Committee Meeting
by Jennifer Shaw 19 Mar '24

19 Mar '24

1. Preamble - Product Cases - These requirements should be on List 1. This should also include a search of the selling broker's email for the product at issue during the relevant period. 2. Preamble and List 1 Item 20 - No Obligation to Create documents: Firms should be required to run reports on commissions, if possible, even if it requires the creation of a document. 3. List 1 Item 11 - All relevant written supervisory procedures, manuals and bulletins should be provided rather than various sections. 4. New Items: Insurance declaration pages should be provided. Jennifer Shaw Executive Director PIABA 1300 McGee Drive, Ste. 112 Norman, OK 73072 (405) 300-8909 From: McCardle, Lance C. via Arbitration <arbitration(a)mail.piaba.org> Date: Tuesday, March 19, 2024 at 1:08 PM To: Ashley Ringo <ashley(a)piaba.org> Cc: arbitration(a)mail.piaba.org <arbitration(a)mail.piaba.org> Subject: [Arbitration] Re: Tuesday - PIABA Arbitration Committee Meeting Good afternoon everyone. For today’s meeting, please try to come up with a list of changes that you may like to see to FINRA’s discovery guide. We would like to put together a concrete list to share with the PIABA members on the NAMC. Thanks. -Lance On Mar 14, 2024, at 10:35 AM, Ashley Ringo via Arbitration <arbitration(a)mail.piaba.org> wrote: You don't often get email from arbitration(a)mail.piaba.org. Learn why this is important<https://aka.ms/LearnAboutSenderIdentification> NOTICE Date: Tuesday, March 19th, 2024 Time: 4:00pm ET; 3:00pm CT; 2:00pm MT; 1:00pm PT Meeting ID: 885 6698 2861 Passcode: 594401 Link: https://us06web.zoom.us/j/88566982861?pwd=LzVHZzQ4MWZrK2lvR0Rlc0dkYWVXUT09 Dial by your location +1 669 900 6833 US (San Jose) +1 253 215 8782 US (Tacoma) +1 346 248 7799 US (Houston) +1 929 205 6099 US (New York) +1 301 715 8592 US (Washington DC) +1 312 626 6799 US (Chicago) Find your local number: https://zoom.us/u/aiAdIR0S4 Sincerely, Ashley Ashley Ringo PIABA, IT Assistant 1300 McGee Dr., Ste. 112 Norman, OK 73072 Direct: 405-832-0128 Toll Free: 888-621-7484 x104 Email: ashley(a)piaba.org<mailto:ashley@piaba.org> ________________________________________________ The information posted on this list server is confidential, is protected under the Electronic Communications Privacy Act, 18 USC sections 2510-2521, and may also be protected by attorney-client and/or attorney/work product privileges. It is intended only for the use of the individuals licensed to have access to this list-serve and the privileges are not waived by virtue of this having been sent by email. If the person actually receiving this information or any other reader of the list server is not a permitted member, any use, dissemination, distribution, or copying of the communication is strictly prohibited. If you have received this information in error, please return the original message to us at Tiffany Zachary at tzachary(a)piaba.org. Public Investors Advocate Bar Association (PIABA) provides this and other list-serves for the convenience of its members. PIABA has no obligation to continue to provide this service to any member or to the membership generally. PIABA reserves the right to discontinue this service completely and/or to exclude any person from any list-serve at any time without notice for violating restrictions on use or for any other reason. PIABA does not censor, edit, or exercise any other control over the content of emails sent to the list-serve; nor is there any way of preventing an email sent to the list-serve from being forwarded to persons outside of the list-serve. PIABA can give no assurance that emails sent to the list-serve will be received or read by others on the list-serve. This list-serve is governed by the PIABA List-Serve Guidelines, By-laws and Policies. If you become aware of a violation of the PIABA List-Serve Guidelines, please report those violations immediately to us by telephone at 405.360.8776 or by email to Tiffany Zachary at tzachary(a)piaba.org. To unsubscribe from this list-serve, contact Tiffany Zachary at tzachary(a)piaba.org.

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Re: Tuesday - PIABA Arbitration Committee Meeting
by W. Scott Greco 19 Mar '24

19 Mar '24

I won’t be able to make the meeting today, but one addition to the DG that would be helpful would be a requirement to do a search of the broker’s and their supervisor’s emails for any emails related to the Claimants or their accounts. Also due diligence files for any recommended alternative investments. Scott W. Scott Greco GRECO & GRECO, P.C. 1300 Old Chain Bridge Rd. McLean, Virginia 22101 703.821.2777 <mailto:wsgreco@grecogrecolaw.com> wsgreco(a)grecogrecolaw.com This communication may contain information that is legally privileged, confidential or exempt from disclosure. If you are not the intended recipient, please note that any dissemination, distribution, or copying of this communication is strictly prohibited. Anyone who receives this message in error should notify the sender immediately by telephone or by return e-mail and delete it from his or her computer. From: McCardle, Lance C. via Arbitration <arbitration(a)mail.piaba.org> Sent: Tuesday, March 19, 2024 2:09 PM To: Ashley Ringo <ashley(a)piaba.org> Cc: arbitration(a)mail.piaba.org Subject: [Arbitration] Re: Tuesday - PIABA Arbitration Committee Meeting Good afternoon everyone. For today’s meeting, please try to come up with a list of changes that you may like to see to FINRA’s discovery guide. We would like to put together a concrete list to share with the PIABA members on the NAMC. Thanks. -Lance On Mar 14, 2024, at 10:35 AM, Ashley Ringo via Arbitration <arbitration(a)mail.piaba.org <mailto:arbitration@mail.piaba.org> > wrote: You don't often get email from arbitration(a)mail.piaba.org <mailto:arbitration@mail.piaba.org> . Learn why this is important <https://aka.ms/LearnAboutSenderIdentification> NOTICE Date: Tuesday, March 19th, 2024 Time: 4:00pm ET; 3:00pm CT; 2:00pm MT; 1:00pm PT Meeting ID: 885 6698 2861 Passcode: 594401 Link: https://us06web.zoom.us/j/88566982861?pwd=LzVHZzQ4MWZrK2lvR0Rlc0dkYWVXUT09 Dial by your location +1 669 900 6833 US (San Jose) +1 253 215 8782 US (Tacoma) +1 346 248 7799 US (Houston) +1 929 205 6099 US (New York) +1 301 715 8592 US (Washington DC) +1 312 626 6799 US (Chicago) Find your local number: https://zoom.us/u/aiAdIR0S4 Sincerely, Ashley Ashley Ringo PIABA, IT Assistant 1300 McGee Dr., Ste. 112 Norman, OK 73072 Direct: 405-832-0128 Toll Free: 888-621-7484 x104 Email: <mailto:ashley@piaba.org> ashley(a)piaba.org ________________________________________________ The information posted on this list server is confidential, is protected under the Electronic Communications Privacy Act, 18 USC sections 2510-2521, and may also be protected by attorney-client and/or attorney/work product privileges. It is intended only for the use of the individuals licensed to have access to this list-serve and the privileges are not waived by virtue of this having been sent by email. If the person actually receiving this information or any other reader of the list server is not a permitted member, any use, dissemination, distribution, or copying of the communication is strictly prohibited. If you have received this information in error, please return the original message to us at Tiffany Zachary at tzachary(a)piaba.org <mailto:tzachary@piaba.org> . Public Investors Advocate Bar Association (PIABA) provides this and other list-serves for the convenience of its members. PIABA has no obligation to continue to provide this service to any member or to the membership generally. PIABA reserves the right to discontinue this service completely and/or to exclude any person from any list-serve at any time without notice for violating restrictions on use or for any other reason. PIABA does not censor, edit, or exercise any other control over the content of emails sent to the list-serve; nor is there any way of preventing an email sent to the list-serve from being forwarded to persons outside of the list-serve. PIABA can give no assurance that emails sent to the list-serve will be received or read by others on the list-serve. This list-serve is governed by the PIABA List-Serve Guidelines, By-laws and Policies. If you become aware of a violation of the PIABA List-Serve Guidelines, please report those violations immediately to us by telephone at 405.360.8776 or by email to Tiffany Zachary at tzachary(a)piaba.org <mailto:tzachary@piaba.org> . To unsubscribe from this list-serve, contact Tiffany Zachary at tzachary(a)piaba.org <mailto:tzachary@piaba.org> .

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Re: Tuesday - PIABA Arbitration Committee Meeting
by McCardle, Lance C. 19 Mar '24

19 Mar '24

Good afternoon everyone. For today’s meeting, please try to come up with a list of changes that you may like to see to FINRA’s discovery guide. We would like to put together a concrete list to share with the PIABA members on the NAMC. Thanks. -Lance On Mar 14, 2024, at 10:35 AM, Ashley Ringo via Arbitration <arbitration(a)mail.piaba.org> wrote: You don't often get email from arbitration(a)mail.piaba.org. Learn why this is important<https://aka.ms/LearnAboutSenderIdentification> NOTICE Date: Tuesday, March 19th, 2024 Time: 4:00pm ET; 3:00pm CT; 2:00pm MT; 1:00pm PT Meeting ID: 885 6698 2861 Passcode: 594401 Link: https://us06web.zoom.us/j/88566982861?pwd=LzVHZzQ4MWZrK2lvR0Rlc0dkYWVXUT09 Dial by your location +1 669 900 6833 US (San Jose) +1 253 215 8782 US (Tacoma) +1 346 248 7799 US (Houston) +1 929 205 6099 US (New York) +1 301 715 8592 US (Washington DC) +1 312 626 6799 US (Chicago) Find your local number: https://zoom.us/u/aiAdIR0S4 Sincerely, Ashley Ashley Ringo PIABA, IT Assistant 1300 McGee Dr., Ste. 112 Norman, OK 73072 Direct: 405-832-0128 Toll Free: 888-621-7484 x104 Email: ashley(a)piaba.org<mailto:ashley@piaba.org> ________________________________________________ The information posted on this list server is confidential, is protected under the Electronic Communications Privacy Act, 18 USC sections 2510-2521, and may also be protected by attorney-client and/or attorney/work product privileges. It is intended only for the use of the individuals licensed to have access to this list-serve and the privileges are not waived by virtue of this having been sent by email. If the person actually receiving this information or any other reader of the list server is not a permitted member, any use, dissemination, distribution, or copying of the communication is strictly prohibited. If you have received this information in error, please return the original message to us at Tiffany Zachary at tzachary(a)piaba.org. Public Investors Advocate Bar Association (PIABA) provides this and other list-serves for the convenience of its members. PIABA has no obligation to continue to provide this service to any member or to the membership generally. PIABA reserves the right to discontinue this service completely and/or to exclude any person from any list-serve at any time without notice for violating restrictions on use or for any other reason. PIABA does not censor, edit, or exercise any other control over the content of emails sent to the list-serve; nor is there any way of preventing an email sent to the list-serve from being forwarded to persons outside of the list-serve. PIABA can give no assurance that emails sent to the list-serve will be received or read by others on the list-serve. This list-serve is governed by the PIABA List-Serve Guidelines, By-laws and Policies. If you become aware of a violation of the PIABA List-Serve Guidelines, please report those violations immediately to us by telephone at 405.360.8776 or by email to Tiffany Zachary at tzachary(a)piaba.org. To unsubscribe from this list-serve, contact Tiffany Zachary at tzachary(a)piaba.org.

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Tuesday - PIABA Arbitration Committee Meeting
by Ashley Ringo 14 Mar '24

14 Mar '24

NOTICE Date: Tuesday, March 19th, 2024 Time: 4:00pm ET; 3:00pm CT; 2:00pm MT; 1:00pm PT Meeting ID: 885 6698 2861 Passcode: 594401 Link: https://us06web.zoom.us/j/88566982861?pwd=LzVHZzQ4MWZrK2lvR0Rlc0dkYWVXUT09 Dial by your location +1 669 900 6833 US (San Jose) +1 253 215 8782 US (Tacoma) +1 346 248 7799 US (Houston) +1 929 205 6099 US (New York) +1 301 715 8592 US (Washington DC) +1 312 626 6799 US (Chicago) Find your local number: https://zoom.us/u/aiAdIR0S4 Sincerely, Ashley Ashley Ringo PIABA, IT Assistant 1300 McGee Dr., Ste. 112 Norman, OK 73072 Direct: 405-832-0128 Toll Free: 888-621-7484 x104 Email: ashley(a)piaba.org<mailto:ashley@piaba.org>

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PIABA Arbitration Committee Meeting
by Ashley Ringo 28 Feb '24

28 Feb '24

Dates: March 19th April 16th May 21st June 18th July 16th August 20th September 17th October 15th Time: 4:00pm ET; 3:00pm CT; 2:00pm MT; 1:00pm PT Meeting ID: 885 6698 2861 Passcode: 594401 Link: https://us06web.zoom.us/j/88566982861?pwd=LzVHZzQ4MWZrK2lvR0Rlc0dkYWVXUT09 Dial by your location +1 669 900 6833 US (San Jose) +1 253 215 8782 US (Tacoma) +1 346 248 7799 US (Houston) +1 929 205 6099 US (New York) +1 301 715 8592 US (Washington DC) +1 312 626 6799 US (Chicago) Find your local number: https://zoom.us/u/aiAdIR0S4

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Arbitration Committee Calendar Invites
by Ashley Ringo 28 Feb '24

28 Feb '24

Sorry for the inconvenience, but I am going to send a new calendar invite for the Arbitration committee. If you have it on your calendar already, please delete the series. I will send a new invite titled "PIABA Arbitration Committee Meeting". Thank you! Sincerely, Ashley Ashley Ringo PIABA, IT Assistant 1300 McGee Dr., Ste. 112 Norman, OK 73072 Direct: 405-832-0128 Toll Free: 888-621-7484 x104 Email: ashley(a)piaba.org<mailto:ashley@piaba.org>

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Canceled: Arbitration Committee Meeting
by Ashley Ringo 20 Feb '24

20 Feb '24

BEGIN:VCALENDAR PRODID:-//Microsoft Corporation//Outlook 16.0 MIMEDIR//EN VERSION:2.0 METHOD:CANCEL X-MS-OLK-FORCEINSPECTOROPEN:TRUE BEGIN:VTIMEZONE TZID:Mountain Standard Time BEGIN:STANDARD DTSTART:16011104T020000 RRULE:FREQ=YEARLY;BYDAY=1SU;BYMONTH=11 TZOFFSETFROM:-0600 TZOFFSETTO:-0700 END:STANDARD BEGIN:DAYLIGHT DTSTART:16010311T020000 RRULE:FREQ=YEARLY;BYDAY=2SU;BYMONTH=3 TZOFFSETFROM:-0700 TZOFFSETTO:-0600 END:DAYLIGHT END:VTIMEZONE BEGIN:VEVENT ATTENDEE;CN=arbitration@mail.piaba.org;RSVP=FALSE:mailto:arbitration@mail.p iaba.org ATTENDEE;CN="Patricia L. Vannoy";ROLE=OPT-PARTICIPANT;RSVP=FALSE:mailto:plv @mattsonricketts.com ATTENDEE;CN="Jennifer Shaw";ROLE=OPT-PARTICIPANT;RSVP=FALSE:mailto:jshaw@pi aba.org CLASS:PUBLIC CREATED:20240220T204611Z DESCRIPTION:Dates:\n\nDecember 19th\n\nJanuary 16th\n\nFebruary 20th\n\nMar ch 19th\n\nApril 16th\n\nMay 21st\n\nJune 18th\n\nJuly 16th\n\nAugust 20th \n\nSeptember 17th\n\nOctober 15th\n\n \n\nTime: 4:00p m ET\; 3:00pm CT\; 2:00pm MT\; 1:00pm PT\n\nMeeting ID: 885 6698 2 861\n\nPasscode: 594401\n\nLink: https://us 06web.zoom.us/j/88566982861?pwd=LzVHZzQ4MWZrK2lvR0Rlc0dkYWVXUT09\n\n \n\nD ial by your location\n\n+1 669 900 6833 US (San Jose)\n\n+1 253 215 8782 U S (Tacoma)\n\n+1 346 248 7799 US (Houston)\n\n+1 929 205 6099 US (New York )\n\n+1 301 715 8592 US (Washington DC)\n\n+1 312 626 6799 US (Chicago)\n\ nFind your local number: https://zoom.us/u/aiAdIR0S4\n\n \n\n DTEND;TZID="Mountain Standard Time":20240116T150000 DTSTAMP:20240220T204611Z DTSTART;TZID="Mountain Standard Time":20240116T140000 LAST-MODIFIED:20240220T204611Z LOCATION:https://us06web.zoom.us/j/88566982861?pwd=LzVHZzQ4MWZrK2lvR0Rlc0dk YWVXUT09 ORGANIZER;CN="Ashley Ringo":mailto:ashley@piaba.org PRIORITY:1 RRULE:FREQ=MONTHLY;COUNT=10;BYDAY=TU;BYSETPOS=3 SEQUENCE:3 SUMMARY;LANGUAGE=en-us:Canceled: Arbitration Committee Meeting TRANSP:TRANSPARENT UID:040000008200E00074C5B7101A82E00800000000309F34AAE828DA01000000000000000 010000000FF7107ACD42E3345A0BB6114EA733027 X-ALT-DESC;FMTTYPE=text/html:<html xmlns:v="urn:schemas-microsoft-com:vml" xmlns:o="urn:schemas-microsoft-com:office:office" xmlns:w="urn:schemas-mic rosoft-com:office:word" xmlns:x="urn:schemas-microsoft-com:office:excel" x mlns:m="http://schemas.microsoft.com/office/2004/12/omml" xmlns="http://ww w.w3.org/TR/REC-html40"><head><meta http-equiv=Content-Type content="text/ html\; charset=us-ascii"><meta name=Generator content="Microsoft Word 15 ( filtered medium)"><style></style></head><body lang=EN-US link="#0563C1" vlink= "#954F72" style='word-wrap:break-word'><div class=WordSection1>Dates:<o:p></o:p>December 19th<o :p></o:p>January 16th<o:p></o:p>February 20th<o:p></o:p>M arch 19th<o:p></o:p>April 16th<o:p></o:p>May 21st<o:p></o:p>June 18th<o:p></o:p>July 1 6th<o:p></o:p>August 20th<o:p ></o:p>September 17th<o:p></o:p>October 15th<o:p></o:p><o :p>&nbsp\;</o:p>Time:&nbsp\;&nbsp\;&nbsp\;&nbsp\;&n bsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\ ;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\; 4:00pm ET\; 3:00pm CT\; 2:00pm MT\; 1 :00pm PT<o:p></o:p>Meeting ID:&nbsp\;&nbsp\;&nbsp\; &nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\; 885 6698 2861<o:p></o:p>Passcode:&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\; &nbsp\;&nbsp\;&nbsp\; 594401<o:p></o:p>Link:&nbsp\; &nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbs p\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\;&nbsp\; <a href="https ://us06web.zoom.us/j/88566982861?pwd=LzVHZzQ4MWZrK2lvR0Rlc0dkYWVXUT09">htt ps://us06web.zoom.us/j/88566982861?pwd=LzVHZzQ4MWZrK2lvR0Rlc0dkYWVXUT09</a ><o:p></o:p><o:p>&nbsp\;</o:p>Dial by your location<o:p></o:p>+1 669 900 6833 U S (San Jose)<o:p></o:p>+1 253 215 8782 US (Tacoma)< o:p></o:p>+1 346 248 7799 US (Houston)<o:p></o:p>+1 929 205 6099 US (New York)<o:p></o:p>+1 301 715 8592 US (Washington DC)<o:p></o:p>+1 312 626 6799 US (Chicago)<o:p></o:p>Find you r local number: <a href="https://zoom.us/u/aiAdIR0S4">https://zoom.us/u/ai AdIR0S4</a><o:p></o:p><o:p>&nbsp\;</o:p></div>< /body></html> X-MICROSOFT-CDO-BUSYSTATUS:FREE X-MICROSOFT-CDO-IMPORTANCE:2 X-MICROSOFT-DISALLOW-COUNTER:TRUE X-MS-OLK-APPTLASTSEQUENCE:2 X-MS-OLK-APPTSEQTIME:20231207T155152Z X-MS-OLK-AUTOSTARTCHECK:FALSE X-MS-OLK-CONFTYPE:0 END:VEVENT END:VCALENDAR

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Canceled - Arbitration Committee Meeting
by Ashley Ringo 20 Feb '24

20 Feb '24

There will not be an Arbitration committee meeting today, February 20th. Sincerely, Ashley Ashley Ringo PIABA, IT Assistant 1300 McGee Dr., Ste. 112 Norman, OK 73072 Direct: 405-832-0128 Toll Free: 888-621-7484 x104 Email: <mailto:ashley@piaba.org> ashley(a)piaba.org

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