6-Hour Program

See Credit Details Below

Overview

Why you should attend

The continuing national discussion regarding the fairness of arbitration has influenced the forums management of the process. FINRA has focused not only on the compositions of arbitration panels but the definition of who is a “customer” and what is “suitable” in securities cases. In 2013 FINRA will continue its focus on employment disputes and expungement applications.

This year’s Securities Arbitration program will feature FINRA Dispute Resolution’s President and Director of Arbitration, 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 reflect general concerns about the fairness of the processes and provide you with practical tips on drafting claims and answers, arbitrators selection lists, opening and closing arguments, exhibits, experts and technology and resolving common ethical dilemmas that arise in securities arbitration practice.

What you will learn

  • Find out what’s new at FINRA including:
    - Proposed changes in FINRA Dispute Resolution’s arbitration rules and practices
    - Plans for the continued enhancement of the rules and the hearing process
    - Definitions of “customers” and “suitability” in FINRA arbitration
  • Analyze recent legislative developments and case law trends
  • Explore ethical issues in the arbitration and mediation context
  • Examine Arbitration Practicum on Product Cases
  • Plus take away Product Hearing practicums
  • Earn one full hour of ethics credit at our session exploring scenarios that highlight the ethical traps that counsel and arbitrators may encounter

Who should attend

Attorneys who represent customers, brokers or broker-dealers in securities arbitration, or those who are seeking to enter into the practice, and who would like a comprehensive review of developments - including FINRA rule changes, SEC rule-making and case law –that have occurred in the field over the past year, as well as practice tips. Additionally, FINRA arbitrators will receive valuable information and guidance from FINRA staff, seasoned practitioners and arbitrators, as well as a notation on their FINRA Arbitrator Disclosure Reports that they attended the program.

Credit Details