On-Demand   On-Demand Web Programs

Securities Arbitration 2013

Released on: Aug. 15, 2013
Running Time: 06:09:47

Running Time Segment Title Faculty Format
[01:07:38] Staying Ahead of the Curve: Hot Topics of Interest in 2013 Margo A. Hassan ~ Assistant Chief Counsel, FINRA Dispute Resolution
Linda D. Fienberg ~ President, FINRA Dispute Resolution
Katherine M. Bayer ~ Regional Director - Northeast Office, FINRA Dispute Resolution
Scott C. Ilgenfritz ~ Johnson, Pope, Bokor, Ruppel & Burns, LLP
Brian Amery ~ Managing Partner, Bressler, Amery & Ross, P.C.
Todd Y. Saltzman ~ Deputy Director of Case Administration, FINRA Dispute Resolution
On-Demand MP3 MP4
[01:00:39] Arbitration Practicum on Product Cases Henry R. Ferguson ~ HRFerguson Financial Consultants LLC
Steven B. Caruso ~ Maddox Hargett & Caruso, P.C.
Ellen Slipp ~ Managign Director and Head of Litigation, CitiGroup Private Bank
Richard W. Berry ~ Senior Vice President and Director of Case Administration and Regional Office Services, FINRA Dispute Resolution
Philip S. Cottone ~ Mediator and Arbitrator,
On-Demand MP3 MP4
[01:00:09] Examining the New Suitability Rules Robert L.D. Colby ~ Chief Legal Officer, FINRA
Seth E. Lipner ~ Professor of Law, Zicklin School of Business, Baruch College, Deutsch & Lipner
Kenneth L. Andrichik ~ Senior Vice President; Chief Counsel and Director of Mediation and Strategy, FINRA Dispute Resolution
Philip S. Cottone ~ Mediator and Arbitrator,
Patricia E. Cowart ~ Assistant General Counsel, Wells Fargo Law Department
On-Demand MP3 MP4
[01:02:40] Employment Arbitration and Expungements Steven B. Caruso ~ Maddox Hargett & Caruso, P.C.
Sandra D. Grannum ~ Davidson & Grannum LLP
Seth E. Lipner ~ Professor of Law, Zicklin School of Business, Baruch College, Deutsch & Lipner
Kenneth L. Andrichik ~ Senior Vice President; Chief Counsel and Director of Mediation and Strategy, FINRA Dispute Resolution
Carrie Chelko ~ Chief Counsel, Lincoln Financial Group Distribution
Carlos Ricca ~ Davidson & Grannum LLP
On-Demand MP3 MP4
[00:57:39] Ethical Issues in Securities Arbitration Henry R. Ferguson ~ HRFerguson Financial Consultants LLC
Steven B. Caruso ~ Maddox Hargett & Caruso, P.C.
Professor Jill I. Gross ~ Professor of Law; Director of Legal Skills; Director, Investor Rights Clinic, Pace Law School
Barbara L. Brady ~ Vice President and Director of Neutral Management, FINRA Dispute Resolution
Patricia E. Cowart ~ Assistant General Counsel, Wells Fargo Law Department
On-Demand MP3 MP4
[01:01:02] Recent Developments in the Law and Future Trends Linda D. Fienberg ~ President, FINRA Dispute Resolution
Sandra D. Grannum ~ Davidson & Grannum LLP
Professor Jill I. Gross ~ Professor of Law; Director of Legal Skills; Director, Investor Rights Clinic, Pace Law School
Scott C. Ilgenfritz ~ Johnson, Pope, Bokor, Ruppel & Burns, LLP
Harry T. Walters ~ Executive Director; Legal and Compliance, Morgan Stanley Smith Barney
On-Demand MP3 MP4
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.

Lecture Topics 
[Total time 06:09:47]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Staying Ahead of the Curve: Hot Topics of Interest in 2013 [01:07:38]
    Linda D. Fienberg, Brian Amery, Katherine M. Bayer, Margo A. Hassan, Scott C. Ilgenfritz, Todd Y. Saltzman
  • Arbitration Practicum on Product Cases [01:00:39]
    Richard W. Berry, Steven B. Caruso, Philip S. Cottone, Henry R. Ferguson, Ellen Slipp
  • Examining the New Suitability Rules [01:00:09]
    Kenneth L. Andrichik, Robert L.D. Colby, Philip S. Cottone, Patricia E. Cowart, Seth E. Lipner
  • Employment Arbitration and Expungements [01:02:40]
    Carrie Chelko, Sandra D. Grannum, Seth E. Lipner, Steven B. Caruso, Carlos Ricca, Kenneth L. Andrichik
  • Ethical Issues in Securities Arbitration [00:57:39]
    Barbara L. Brady, Steven B. Caruso, Patricia E. Cowart, Henry R. Ferguson, Professor Jill I. Gross
  • Recent Developments in the Law and Future Trends [01:01:02]
    Sandra D. Grannum, Professor Jill I. Gross, Linda D. Fienberg, Scott C. Ilgenfritz, Harry T. Walters

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • Preparing for Arbitration—Arbitration Before FINRA (May 28, 2013)
    Laurence S. Moy
  • Arbitration Practicum on Product Cases
    Brian Amery, David Butler, Frank Cuccio
  • FINRA Rule 2111
    Robert L.D. Colby
  • Regulatory Notice 11-02: Know Your Customer and Suitability
    Robert L.D. Colby
  • Frequently Asked Questions FINRA Rule 2111 (Suitability)
    Robert L.D. Colby
  • Regulatory Notice 12–25 (May 2012)
    Robert L.D. Colby
  • Regulatory Notice 12–55 (December 2012)
    Robert L.D. Colby
  • Expungement of Customer Complaint CRD Information Following Settlement of a FINRA Arbitration
    Seth E. Lipner
  • All Public Arbitrator Panels: A More Level Playing Field
    Steven B. Caruso
  • The Financial Industry Regulatory Authority’s Dispute Resolution Activities (May 1, 2013)
    Barbara L. Brady
  • Conflicts of Interest Between Current and Former Clients in Securities Cases
    Joel E. Davidson
  • Utilizing Managed Futures in Traditional Portfolios
    Henry R. Ferguson
  • Arbitraton Case Law Update 2013 (May 20, 2013)
    Professor Jill I. Gross
  • Arbitration Award Vacatur in 2013: You Say Tomahto, I Say Tomato—You Say Manifest Disregard, I Say Exceeds Powers
    Sandra D. Grannum
  • Determining Whether an Individual is a Firm’s Customer for Purposes of Compelling Arbitration: Recent Court Cases and FINRA Rules Fashion a New Standard (May 14, 2013)

Presentation Material

  • Examining the New Suitabilty Rules
    Kenneth L. Andrichik
  • Employment Arbitration and Expungements
    Seth E. Lipner
  • Ethical Issues in Securities Arbitration
    Barbara L. Brady
Chairperson(s)
Sandra D. Grannum ~ Davidson & Grannum LLP
Speaker(s)
Brian Amery ~ Managing Partner, Bressler, Amery & Ross, P.C.
Kenneth L. Andrichik ~ Senior Vice President; Chief Counsel and Director of Mediation and Strategy, FINRA Dispute Resolution
Katherine M. Bayer ~ Regional Director - Northeast Office, FINRA Dispute Resolution
Richard W. Berry ~ Senior Vice President and Director of Case Administration and Regional Office Services, FINRA Dispute Resolution
Barbara L. Brady ~ Vice President and Director of Neutral Management, FINRA Dispute Resolution
Steven B. Caruso ~ Maddox Hargett & Caruso, P.C.
Carrie Chelko ~ Chief Counsel, Lincoln Financial Group Distribution
Robert L.D. Colby ~ Chief Legal Officer, FINRA
Philip S. Cottone ~ Mediator and Arbitrator,
Patricia E. Cowart ~ Assistant General Counsel, Wells Fargo Law Department
Henry R. Ferguson ~ HRFerguson Financial Consultants LLC
Linda D. Fienberg ~ President, FINRA Dispute Resolution
Professor Jill I. Gross ~ Professor of Law; Director of Legal Skills; Director, Investor Rights Clinic, Pace Law School
Margo A. Hassan ~ Assistant Chief Counsel, FINRA Dispute Resolution
Scott C. Ilgenfritz ~ Johnson, Pope, Bokor, Ruppel & Burns, LLP
Seth E. Lipner ~ Professor of Law, Zicklin School of Business, Baruch College, Deutsch & Lipner
Carlos Ricca ~ Davidson & Grannum LLP
Todd Y. Saltzman ~ Deputy Director of Case Administration, FINRA Dispute Resolution
Ellen Slipp ~ Managign Director and Head of Litigation, CitiGroup Private Bank
Harry T. Walters ~ Executive Director; Legal and Compliance, Morgan Stanley Smith Barney

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.

 
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