6-Hour Program

See Credit Details Below

Overview

Why You Should Attend

FINRA arbitrations have undergone significant changes in the past year and we expect significant developments in the near future.  If you are a practitioner, arbitrator, mediator, or intend to be any above in the future, this program is an invaluable resource for cutting edge events, practical takeaways, and a means of meeting the FINRA staff who manage the forum.

This year’s Securities Arbitration program will feature FINRA Dispute Resolution leadership, and arbitrators, as well as noted academics and experienced attorneys who represent both customers and industry players.  Our faculty will provide practical tips on direct and cross examination of witnesses in product cases, explore sensitive and ethical issues in drafting settlement agreements and discovery requests, review ethical issues arising in dealing with an aging population, employment arbitrations, and expungement hearings as well as explore developing technology in the forum.

What You Will Learn

  • Staying Ahead of the Curve: Hot Topics of Interest in 2015
  • The Definition of Customer and Evolution of Fiduciary Duty
  • An Arbitration Practicum: Examination of the Broker in Product Cases
  • Confidentiality: As Sword or Shield - Ethical Consideration in Discovery, Settlements, and Expungements
  • Legal Ethics, Arbitration, and an Aging Population
  • Recent Developments in the Law and Future Trends

Special Feature

  • Earn two hours of Ethics credits

Credit Offered: CLE and CPE

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, as well as a notation on their FINRA Arbitrator Disclosure Reports that they attended the program.

Credit Details