Last year’s fervor over the fairness of arbitration has not so much subsided as it has been refined. In response to this shift, in 2012 FINRA will focus on streamlining and improving its dispute resolution forum, including fine-tuning the arbitrator disclosure process. FINRA’s goal is to ensure early disclosure of relevant arbitrator information, in order to save the parties the time and expense associated with replacing arbitrators whose disclosure is incomplete, while allowing for the parties’ continued input into the arbitrator selection process.
This year’s
Securities Arbitration program will feature FINRA Dispute Resolution’s Director, staff, and arbitrators, as well as noted academics and experienced attorneys who represent both customers and industry players. Our faculty will explore FINRA’s efforts to improve the arbitrator disclosure process and provide you with practical tips on drafting claims and answers, striking and ranking proposed arbitrators, trying expungement hearings and resolving common ethical dilemmas that arise in securities arbitration practice.
Lecture Topics [Total time 06:08:30]
Segments with an asterisk (*) are available only with the purchase of the entire program.
- Introduction and Opening Remarks* [00:04:51]
Sandra D. Grannum
- What's New? [01:07:24]
George H. Friedman, Kenneth L. Andrichik, Barbara L. Brady, Todd Y. Saltzman, James Schroder
- Arbitration Practicum on Prehearing Matters [00:57:31]
Richard W. Berry, Philip S. Cottone, Margo A. Hassan, Jenice L. Malecki, Manly Ray, Beverly Jo Slaughter
- Expungement Hearings [00:57:22]
Todd Y. Saltzman, Manly Ray, Sandra D. Grannum, Constantine N. Katsoris, Laurence S. Moy, Richard E. Pullano
- Demonstration of an Expungement Hearing [01:01:02]
Philip S. Cottone, Beverly Jo Slaughter, Laurence S. Moy, Seth E. Lipner, Harry T. Walters
- Ethical Issues in Securities Arbitration and Mediations [01:01:55]
Constantine N. Katsoris, Seth E. Lipner, Professor Jill I. Gross, Joel E. Davidson, Roger M. Deitz
- Securities Arbitration: Recent Developments in the Law and Future Trends [00:58:25]
George H. Friedman, Jenice L. Malecki, Sandra D. Grannum, Harry T. Walters, Professor Jill I. Gross, Ryan K. Bakhtiari
The purchase price of this Web Program includes the following articles from the Course Handbook available online:
- The Financial Industry Regulatory Authority's Dispute Resolution Activities
- FINRA Discovery Guide and Document Production Lists for Customer Disputes
- The Pre-Hearing Conference in Arbitration--A Step by Step Guide
Philip S. Cottone
- Securities Arbitration: Expungements in 2012
Sandra D. Grannum
- The New FINRA Suitability Rules
Seth E. Lipner
- Ethical Considerations for Securities Arbitrators and Practitioners
Joel E. Davidson
- Ethics in Discovery: Court, A Backdrop for Arbitration
Jenice L. Malecki
- Arbitration Case Law Update 2012
Professor Jill I. Gross
- "Selling Away" Cases--Defense Approaches
Harry T. Walters
- Index to Securities Arbitration 2012
Presentation Material
- What's New?
- Demonstration of an Expungement Hearing
Harry T. Walters
- Ethical Issues in Securities Arbitration and Mediations
Chairperson(s)
Moderator(s)
Richard W. Berry ~ Senior Vice President and Director of Case Administration and Regional Office Services, FINRA Dispute Resolution
George H. Friedman ~ Executive Vice President and Director of Arbitration, FINRA Dispute Resolution
Professor Jill I. Gross ~ Professor of Law; Director of Legal Skills; Director, Investor Rights Clinic, Pace Law School
Seth E. Lipner ~ Professor of Law, Zicklin School of Business, Baruch College, Deutsch & Lipner
Todd Y. Saltzman ~ Deputy Director of Case Administration, FINRA Dispute Resolution
Harry T. Walters ~ Executive Director; Legal and Compliance, Morgan Stanley Smith Barney
Speaker(s)
Kenneth L. Andrichik ~ Senior Vice President; Chief Counsel and Director of Mediation and Strategy, FINRA Dispute Resolution
Barbara L. Brady ~ Vice President and Director of Neutral Management, FINRA Dispute Resolution
Joel E. Davidson ~ Professor, Fordham University School of Law; Principal, SureSettle, LLC
Richard E. Pullano ~ Associate Vice President & Counsel, FINRA Registration and Disclosure
Manly Ray ~ Regional Director, FINRA Dispute Resolution
James Schroder ~ Associate Vice President of Product Management, FINRA Dispute Resolution
PLI makes every effort to accredit its On-Demand Web Programs and Segments. Please check the CLE Calculator above for CLE information specific to your state.
On-Demand Web Programs and Segments are approved in:
Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6, North Carolina7, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14 and Wyoming*.
Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.
Minnesota approves live webcasts ONLY
Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.
*PLI will apply for credit upon request. Louisiana and New Hampshire: PLI will apply for credit upon request for audio-only on-demand web programs.
1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.
2Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.
3Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.
4New Hamphsire: The approval is for three years from recorded date.
5New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.
6New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.
7North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.
8Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.
9Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.
10Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.
11Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.
12Tennessee: The approval is for the calendar year in which the live program was presented.
13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.
14Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.
Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.
If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.
Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, call Customer Service (800) 260-4PLI (4754) or e-mail info@pli.edu.