6-Hour Program

See Credit Details Below

Overview

Why you should attend

FINRA continues to focus on perceived fairness in the arbitration process and in so doing is developing new rules and procedures regarding arbitrator classification, the compositions of arbitration panels and broadening the arbitrators’ authority to make referrals during an arbitration proceeding. In 2014, FINRA will continue its efforts with regard to employment disputes, requests for expungement and resolving disputes through mediation.

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 handling employment disputes such as wrongful termination and promissory note cases, while examining the ethics of mediation compared to arbitration.

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
    - Classification changes to the definition of public and non-public arbitrators
    - What’s new in the expungement process
  • Analyze recent developments and case law trends (variable annuities; structured products; employment cases; customer definitions)
  • Explore ethical issues in mediation advocacy (conflict of interest issues)
  • Observe an arbitration practicum on industry disputes (raider recruiting; employment; promissory note case)
  • Explore post-hearing practices (enforcement/suspension proceedings; motions to vacate)

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 rulemaking 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.

Special Feature
Earn one hour of Ethics credit

Credit Details