On-Demand   On-Demand Web Programs

Securities Arbitration 2014

Released on: Aug. 14, 2014
Running Time: 06:09:31

Running Time Segment Title Faculty Format
[01:11:38] Staying Ahead of the Curve: Hot Topics of Interest in 2014 Linda D. Fienberg ~ President, FINRA Dispute Resolution
Sandra D. Grannum ~ Davidson & Grannum LLP
Seth E. Lipner ~ Deutsch & Lipner
Andrew J Gerber ~ Arbitrator
Mignon McLemore ~ FINRA Dispute Resolution, Inc.
Todd Y. Saltzman ~ Deputy Director of Case Administration, FINRA Dispute Resolution
On-Demand MP3 MP4
[00:59:05] Recent and Upcoming Rule Changes: Arbitrator Classification, Panel Composition, and Referrals for Disciplinary Action Kenneth L. Andrichik ~ Senior Vice President; Chief Counsel and Director of Mediation and Strategy, FINRA Dispute Resolution
Ryan K. Bakhtiari ~ Aidikoff, Uhl & Bakhtairi
Richard W. Berry ~ Senior Vice President, FINRA Dispute Resolution
Jenice L. Malecki ~ Malecki Law
Brian Amery ~ Managing Partner, Bressler, Amery & Ross, P.C.
Beverly Jo Slaughter ~ Managing Counsel, Wells Fargo Law Department
On-Demand MP3 MP4
[01:00:24] Arbitration Practicum on Employment Cases Arthur C. Koski ~ Law Office of Arthur C. Koski, P.A.
Sandra D. Grannum ~ Davidson & Grannum LLP
Barbara Flessas ~ General Assistant Counsel, Jefferies LLC
Philip S. Cottone ~ Property Trust Advisory Company LLC
Salvador Hernandez ~ Riley Warnock & Jacobson PLC
Todd Schnell ~ Royal Bank of Canada
On-Demand MP3 MP4
[00:59:25] Post-award Activities Ruthann Granito ~
Garry Stegeland ~ Stifel Nicholaus
Barbara L. Brady ~ Vice President and Director of Neutral Management, FINRA Dispute Resolution
Beverly Jo Slaughter ~ Managing Counsel, Wells Fargo Law Department
Todd Y. Saltzman ~ Deputy Director of Case Administration, FINRA Dispute Resolution
Emily P. Gordy ~ Senior Vice President, Enforcement, FINRA
On-Demand MP3 MP4
[00:59:14] The Ethics of Mediation v. Arbitration William Montgomery ~ Keesal, Young & Logan
Roger M. Deitz ~ Dispute Resolution
Joan Stearns Johnsen ~
Ryan K. Bakhtiari ~ Aidikoff, Uhl & Bakhtairi
Professor Jill I. Gross ~ Professor of Law, Pace Law School
Julie Crotty ~ Deputy Director - Mediation, FINRA Dispute Resolution
On-Demand MP3 MP4
[00:59:45] 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, Pace Law School
Jason Doss ~
Michael Alford ~ Senior Vice President, Deputy General Counsel, Raymond James & Associates
On-Demand MP3 MP4

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.

Lecture Topics  [Total time 06:09:31]

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

  • Staying Ahead of the Curve: Hot Topics of Interest in 2014 [01:11:38]
    Linda D. Fienberg, Sandra D. Grannum, Andrew J Gerber, Seth E. Lipner, Mignon McLemore, Todd Y. Saltzman
  • Recent and Upcoming Rule Changes: Arbitrator Classification, Panel Composition, and Referrals for Disciplinary Action [00:59:05]
    Kenneth L. Andrichik, Brian Amery, Ryan K. Bakhtiari, Richard W. Berry, Jenice L. Malecki, Beverly Jo Slaughter
  • Arbitration Practicum on Employment Cases [01:00:24]
    Sandra D. Grannum, Philip S. Cottone, Barbara Flessas, Salvador Hernandez, Arthur C. Koski, Todd Schnell
  • Post-award Activities [00:59:25]
    Todd Y. Saltzman, Beverly Jo Slaughter, Barbara L. Brady, Emily P. Gordy, Ruthann Granito, Garry Stegeland
  • The Ethics of Mediation v. Arbitration [00:59:14]
    Ryan K. Bakhtiari, Professor Jill I. Gross, Julie Crotty, Roger M. Deitz, William Montgomery, Joan Stearns Johnsen
  • Recent Developments in the Law and Future Trends [00:59:45]
    Linda D. Fienberg, Sandra D. Grannum, Professor Jill I. Gross, Michael Alford, Jason Doss

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

  • Arbitration Parties Are People Too—Help Them Feel That Way
    Andrew J Gerber
  • Study of Cost Assessments in FINRA Customer Arbitrations
    Seth E. Lipner
  • Expungement Update 2014
  • Recent and Potential FINRA Rule Changes: Summarizing Developments as to Arbitrator Issues, Discovery Updates, Privacy Rule and More
    Joshua Jones
  • The Financial Industry Regulatory Authority’s Dispute Resolution Activities (Revised May 12, 2014)
  • Should Mid-Case Referrals Be Permitted in FINRA Arbitrations?
    Jenice L. Malecki
  • Arbitration Practicum on Product Cases (Revised May 2014)
    Brian Amery
  • SEC Release No. 34–72196 (May 20, 2014)
  • Guilty Until Proven Innocent
    Arthur C. Koski
  • Due Diligence, Due Diligence, Due Diligence: The Practitioner Mantra in Member/Associated Persons Cases
    Sandra D. Grannum, Todd Schnell
  • The Uniform Trade Secrets Act & the Scope of Displacement of Common Law Tort Claims Based on Misappropriation: Recent Case Law from Arizona as a Primer
    Salvador Hernandez
  • Arbitration Award Vacatur—Manifest Disregard in 2014
  • Unfairness: A Forgotten Basis for Vacatur: Does the Record and Not the Facts End Up Determining if an Event is Actionable?
    Ruthann Granito
  • FINRA Expungements: Practice and Procedure
  • Model Standards of Conduct for Mediators
  • The Ethics of Settling a FINRA Dispute: Can You Lie?
    Joan Stearns Johnsen
  • Fourteen Things to Consider in Mediating a Securities Case
    William Montgomery
  • FINRA Mediation: A Close to “No Lose” Situation
  • Conflicts Between the Ethical Principles That Are Critical to Preserving Trust in the Mediation Process—A Need for Increased Understanding and Concern
    Simeon H. Baum
  • Arbitration Case Law Update 2014
    Professor Jill I. Gross
Chairperson(s)
Sandra D. Grannum ~ Davidson & Grannum LLP
Speaker(s)
Michael Alford ~ Senior Vice President, Deputy General Counsel, Raymond James & Associates
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
Ryan K. Bakhtiari ~ Aidikoff, Uhl & Bakhtairi
Richard W. Berry ~ Senior Vice President, FINRA Dispute Resolution
Barbara L. Brady ~ Vice President and Director of Neutral Management, FINRA Dispute Resolution
Philip S. Cottone ~ Property Trust Advisory Company LLC
Julie Crotty ~ Deputy Director - Mediation, FINRA Dispute Resolution
Roger M. Deitz ~ Dispute Resolution
Linda D. Fienberg ~ President, FINRA Dispute Resolution
Barbara Flessas ~ General Assistant Counsel, Jefferies LLC
Andrew J Gerber ~ Arbitrator
Emily P. Gordy ~ Senior Vice President, Enforcement, FINRA
Professor Jill I. Gross ~ Professor of Law, Pace Law School
Salvador Hernandez ~ Riley Warnock & Jacobson PLC
Arthur C. Koski ~ Law Office of Arthur C. Koski, P.A.
Seth E. Lipner ~ Deutsch & Lipner
Jenice L. Malecki ~ Malecki Law
Mignon McLemore ~ FINRA Dispute Resolution, Inc.
William Montgomery ~ Keesal, Young & Logan
Todd Y. Saltzman ~ Deputy Director of Case Administration, FINRA Dispute Resolution
Todd Schnell ~ Royal Bank of Canada
Beverly Jo Slaughter ~ Managing Counsel, Wells Fargo Law Department
Garry Stegeland ~ Stifel Nicholaus

PLI makes every effort to accredit its On-Demand Web Programs and Segments.  Please check the Credit Information box to the right of each product description for credit information specific to your state.


On-Demand Web Programs and Segments
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Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.


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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