Seminar  Program

Securities Arbitration 2017


Select a Location:

Why You Should Attend

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.  Our faculty will provide practical tips for preparing for expungement proceedings. They will explore the ethical issues involved in litigating against pro se parties and handling financial fraud cases involving senior citizens. Finally, they will take a look at the latest hot topics and future trends in securities arbitration for 2018.

What You Will Learn

  • Recent Developments in FINRA Arbitration and Mediation
  • Ethics in Financial Fraud Cases Involving Seniors
  • Ethical Considerations for Litigating Against Pro Se Parties
  • Arbitrator Practicum on Insurance Issues in Dispute Resolution
  • Hot Topics and Future Trends Securities Arbitration in 2018

 Special Feature

  • Earn up to two hours of Ethics credits

Who Should Attend

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 an opportunity to meet the FINRA staff who manage the forum.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

9:00 Introduction and Opening Remarks
Sandra Grannum


9:15 Recent and Upcoming Developments in FINRA Arbitration and Mediation
• FINRA Update on Dispute Resolution Task Force Recommendations
• Statistics and Trends
Progress and Challenges Following Mandatory Party Portal Rule
• Amendments to Simplified Arbitration
• Amendments to the Non-public Arbitrator Definition
• Expediting Arbitrator Selection Lists
• Update on the Neutral List Selection System
• Efforts in Arbitrator Recruitment and Diversity

Moderator: Rick Berry
Panelists: Mike Alford, Steven B. Caruso , Manly Ray, Sandra J. Mullings



10:15 Ethical, Practical, and Legal Considerations for Litigating Against Pro Se Parties in Securities Arbitration Hearings
•             Pre-Hearing Interactions with a Pro Se parties
o             ABA Model Rules of Professional Conduct Rule 4.3 and Rule 1.7
•             Techniques to Apply During Hearings against pro se parties
o             ABA Model Rules of Professional Conduct Rule 3.3 and Rule 2.4
•             Giving pro se parties Wide Latitude to Present their Cases
o             ABA Model Rules of Professional Conduct Rule 3.4 and Rule 3.5
•             Settlement Negotiations with pro se Claimants
o             ABA Model Rules of Professional Conduct Rule 4.3, Rule 1.7 and Rule 2.4

Moderator: Harry Walters
Panelists: Diane Ciccone, Jill Clarke, Bruce Sanders, Joseph S. Simms



11:15 Networking Break

11:30 Preparation for Expungement Hearings in Securities Arbitration
• Counseling Your Client on Cost vs. the Value of a “Clean” Record
• Avoiding “Blanket” or Vague Expungement Requests
• Defamation: When to Request Compensatory Damages
• Conflict of Interest Issues

Moderator: Sandra Grannum
Panelists: Ryan K. Bakhtiari, Christopher C. Coss, Phil Cottone, Seth Lipner



12:30 Lunch Break

1:45 Securities Arbitration – Legal Ethics in Financial Fraud Cases Involving Seniors
•     Ethical Considerations with Regard to Disclosure
•     Client identification:
o             ABA Model Rules of Professional Conduct Rule 1.2: Scope of Representation; and Rule 1.4: Communication
•     Competency:
o             ABA Model Rules of Professional Conduct Rule 1.14: Clients with Diminished Capacity
•     Third Party Involvement and Children Participation: Friend or Foe?
o             Conflicts of interest: ABA Model Rules of Professional Conduct Rule 1.7
o             Confidentiality: ABA Model Rules of Professional Conduct Rule 1.6

Moderator: Teresa Verges
Panelists: Samuel B. Edwards, Paul B. Marrow, Beverly Jo Slaughter, Gerri Walsh



2:45 Securities Arbitration - Lifting the Veil: A Practicum on Insurance Issues in Dispute Resolution
• Variable Life Insurance and Variable Universal Life Insurance Cases
• Errors and Omissions Insurance
• Production of Insurance Policies in Discovery

Moderator: Ken Andrichik
Panelists:  Darya Geeter, Glenn Gitomer, Tracey Salmon-Smith, James Yellen



3:45 Networking Break

4:00 Staying Ahead of the Curve: Hot Topics in Securities Arbitration and Future Trends in 2018
• Case law trends,
• Proposed FINRA rules,
• Industry  and public investor advocate reactions and
• What the experts believe is on the horizon for 2018

Moderator: Sandra D. Grannum
Panelists: Rick Berry, Jill Gross, Marnie Lambert, Chris Lewis



5:00 Adjourn

Chairperson(s)
Sandra D. Grannum ~ Drinker Biddle & Reath LLP
Moderator(s)
Kenneth L. Andrichik ~ Senior Vice President; Chief Counsel and Director of Mediation and Strategy, FINRA Office of Dispute Resolution
Richard W. Berry ~ Executive Vice President and Director of Dispute Resolution, FINRA Dispute Resolution
Manly Ray ~ Regional Director, FINRA Dispute Resolution
Speaker(s)
Michael Alford ~ Senior Vice President, Deputy General Counsel, Raymond James & Associates
Ryan K. Bakhtiari ~ Aidikoff, Uhl & Bakhtairi
Steven B. Caruso ~ Maddox Hargett & Caruso, P.C.
Diane Ciccone ~ Law Office of Diane Ciccone
Jill Clarke ~ Janney Montgomery Scott
Philip S. Cottone ~ Mediator – Arbitrator,
Christopher Cross ~ Coss & Momjian LLP
Samuel Edwards ~ Shepherd, Smith, Edwards & Kantas, LLP
Darya Geetter ~ EVP, Deputy GC, LPL Financial LLC
Glenn Gitomer ~ McCausland Keen & Buckman
Jill I. Gross ~ Professor of Law, Elisabeth Haub School of Law, Pace University
Marnie C. Lambert ~ Lambert Law Firm, LLC
Christopher N Lewis ~ Edward Jones
Seth E. Lipner ~ Deutsch & Lipner
Paul B. Marrow ~ New York Law School
Sandra J. Mullings ~ Baruch College
Tracey Salmon-Smith ~ Principal, Bressler Amery & Ross
Bruce Sanders ~ Howard University School of Law
Joseph S. Simms ~ Koehler Fitzgerald LLC
Beverly Jo Slaughter ~ Managing Counsel, Wells Fargo Law Department
Teresa J. Verges ~ Director, Investor Rights Clinic, University of Miami School of Law
Gerri Walsh ~ President, FINRA Investor Education Foundation, FINRA Office of Investor Education
Harry T. Walters ~ Managing Director, Legal and Compliance, Morgan Stanley Wealth Management
James D. Yellen ~ Executive Director, Legal Division, Yellen Mediation Services
Program Attorney(s)
Willis Goodmoore ~ Program Attorney, Practising Law Institute

New York City Seminar Location

PLI New York Center
, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036. (800) 260-4754.

New York City Hotel Accommodations

Crowne Plaza Times Square Manhattan, 1605 Broadway (at 48th Street), New York, NY 10019 (212) 977-4000. When calling, mention Practising Law Institute. You can also make reservations online to access PLI's rates.

The Muse, 130 West 46th Street, New York, NY 10036. Please call reservations at 1-800-546-7866. When calling, please mention Practising Law Institute and rate code PLII. You can also Book Online- Kimpton.

Millennium Broadway Hotel, 145 West 44th Street, New York, NY 10036. Please call reservations at 1-800-622-5569. When calling, please mention Practising Law Institute. You can also book online.

Hyatt Times Square, 135 W. 45th Street, New York, NY 10036. For reservations, please call (646) 364-1234. When calling mention rate code CR56218 or Practising Law Institute.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live seminars qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

California:  PLI’s live seminars qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Illinois: All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Iowa:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Kansas:  PLI’s live seminars qualify as “traditional” credit. There is no limit to the number of credits an attorney can earn via traditional programs.

Kentucky:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Louisiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Maine:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Minnesota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Mississippi:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Missouri:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Montana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nebraska:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nevada:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Hampshire:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Jersey:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Mexico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live seminars can be used to fulfill the requirements for newly admitted attorneys. All credit categories may be earned via transitional live seminars.

North Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars

North Dakota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Ohio:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oklahoma:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Puerto Rico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Rhode Island:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

South Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Tennessee:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Vermont:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live seminars qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

West Virginia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wisconsin:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wyoming:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live seminars qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live seminars qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC): PLI’s live seminars can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live seminars qualify as “live” credit. There is no limit to the number of points an attorney can earn via live seminars.

United Kingdom (CPD-UK):  PLI’s live seminars can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live seminars qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via live seminars.

Other Credit Types

CPE Credit (NASBA): PLI’s live seminars qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE): PLI’s live seminars may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live seminars may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live seminars may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live seminars may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live seminars qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live seminars qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live seminars may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live seminars may fulfill SW CPE credit requirements.

 

Why You Should Attend

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.  Our faculty will provide practical tips for preparing for expungement proceedings. They will explore the ethical issues involved in litigating against pro se parties and handling financial fraud cases involving senior citizens. Finally, they will take a look at the latest hot topics and future trends in securities arbitration for 2018.

What You Will Learn

  • Recent Developments in FINRA Arbitration and Mediation
  • Ethics in Financial Fraud Cases Involving Seniors
  • Ethical Considerations for Litigating Against Pro Se Parties
  • Arbitrator Practicum on Insurance Issues in Dispute Resolution
  • Hot Topics and Future Trends Securities Arbitration in 2018

 Special Feature

  • Earn up to two hours of Ethics credits

Who Should Attend

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 an opportunity to meet the FINRA staff who manage the forum.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

9:00 Introduction and Opening Remarks
Sandra Grannum


9:15 Recent and Upcoming Developments in FINRA Arbitration and Mediation
• FINRA Update on Dispute Resolution Task Force Recommendations
• Statistics and Trends
Progress and Challenges Following Mandatory Party Portal Rule
• Amendments to Simplified Arbitration
• Amendments to the Non-public Arbitrator Definition
• Expediting Arbitrator Selection Lists
• Update on the Neutral List Selection System
• Efforts in Arbitrator Recruitment and Diversity

Moderator: Rick Berry
Panelists: Mike Alford, Steven B. Caruso , Manly Ray, Sandra J. Mullings



10:15 Ethical, Practical, and Legal Considerations for Litigating Against Pro Se Parties in Securities Arbitration Hearings
•             Pre-Hearing Interactions with a Pro Se parties
o             ABA Model Rules of Professional Conduct Rule 4.3 and Rule 1.7
•             Techniques to Apply During Hearings against pro se parties
o             ABA Model Rules of Professional Conduct Rule 3.3 and Rule 2.4
•             Giving pro se parties Wide Latitude to Present their Cases
o             ABA Model Rules of Professional Conduct Rule 3.4 and Rule 3.5
•             Settlement Negotiations with pro se Claimants
o             ABA Model Rules of Professional Conduct Rule 4.3, Rule 1.7 and Rule 2.4

Moderator: Harry Walters
Panelists: Diane Ciccone, Jill Clarke, Bruce Sanders, Joseph S. Simms



11:15 Networking Break

11:30 Preparation for Expungement Hearings in Securities Arbitration
• Counseling Your Client on Cost vs. the Value of a “Clean” Record
• Avoiding “Blanket” or Vague Expungement Requests
• Defamation: When to Request Compensatory Damages
• Conflict of Interest Issues

Moderator: Sandra Grannum
Panelists: Ryan K. Bakhtiari, Christopher C. Coss, Phil Cottone, Seth Lipner



12:30 Lunch Break

1:45 Securities Arbitration – Legal Ethics in Financial Fraud Cases Involving Seniors
•     Ethical Considerations with Regard to Disclosure
•     Client identification:
o             ABA Model Rules of Professional Conduct Rule 1.2: Scope of Representation; and Rule 1.4: Communication
•     Competency:
o             ABA Model Rules of Professional Conduct Rule 1.14: Clients with Diminished Capacity
•     Third Party Involvement and Children Participation: Friend or Foe?
o             Conflicts of interest: ABA Model Rules of Professional Conduct Rule 1.7
o             Confidentiality: ABA Model Rules of Professional Conduct Rule 1.6

Moderator: Teresa Verges
Panelists: Samuel B. Edwards, Paul B. Marrow, Beverly Jo Slaughter, Gerri Walsh



2:45 Securities Arbitration - Lifting the Veil: A Practicum on Insurance Issues in Dispute Resolution
• Variable Life Insurance and Variable Universal Life Insurance Cases
• Errors and Omissions Insurance
• Production of Insurance Policies in Discovery

Moderator: Ken Andrichik
Panelists:  Darya Geeter, Glenn Gitomer, Tracey Salmon-Smith, James Yellen



3:45 Networking Break

4:00 Staying Ahead of the Curve: Hot Topics in Securities Arbitration and Future Trends in 2018
• Case law trends,
• Proposed FINRA rules,
• Industry  and public investor advocate reactions and
• What the experts believe is on the horizon for 2018

Moderator: Sandra D. Grannum
Panelists: Rick Berry, Jill Gross, Marnie Lambert, Chris Lewis



5:00 Adjourn

Chairperson(s)
Sandra D. Grannum ~ Drinker Biddle & Reath LLP
Moderator(s)
Kenneth L. Andrichik ~ Senior Vice President; Chief Counsel and Director of Mediation and Strategy, FINRA Office of Dispute Resolution
Richard W. Berry ~ Executive Vice President and Director of Dispute Resolution, FINRA Dispute Resolution
Manly Ray ~ Regional Director, FINRA Dispute Resolution
Speaker(s)
Michael Alford ~ Senior Vice President, Deputy General Counsel, Raymond James & Associates
Ryan K. Bakhtiari ~ Aidikoff, Uhl & Bakhtairi
Steven B. Caruso ~ Maddox Hargett & Caruso, P.C.
Diane Ciccone ~ Law Office of Diane Ciccone
Jill Clarke ~ Janney Montgomery Scott
Philip S. Cottone ~ Mediator – Arbitrator,
Christopher Cross ~ Coss & Momjian LLP
Samuel Edwards ~ Shepherd, Smith, Edwards & Kantas, LLP
Darya Geetter ~ EVP, Deputy GC, LPL Financial LLC
Glenn Gitomer ~ McCausland Keen & Buckman
Jill I. Gross ~ Professor of Law, Elisabeth Haub School of Law, Pace University
Marnie C. Lambert ~ Lambert Law Firm, LLC
Christopher N Lewis ~ Edward Jones
Seth E. Lipner ~ Deutsch & Lipner
Paul B. Marrow ~ New York Law School
Sandra J. Mullings ~ Baruch College
Tracey Salmon-Smith ~ Principal, Bressler Amery & Ross
Bruce Sanders ~ Howard University School of Law
Joseph S. Simms ~ Koehler Fitzgerald LLC
Beverly Jo Slaughter ~ Managing Counsel, Wells Fargo Law Department
Teresa J. Verges ~ Director, Investor Rights Clinic, University of Miami School of Law
Gerri Walsh ~ President, FINRA Investor Education Foundation, FINRA Office of Investor Education
Harry T. Walters ~ Managing Director, Legal and Compliance, Morgan Stanley Wealth Management
James D. Yellen ~ Executive Director, Legal Division, Yellen Mediation Services
Program Attorney(s)
Willis Goodmoore ~ Program Attorney, Practising Law Institute
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered. If two or more individuals wish to participate in a webcast and receive credit, PLI would be happy to provide a Groupcast – group viewing of a webcast. To schedule a Groupcast, please contact PLI at groupcasts@pli.edu.


U.S. MCLE States

Alabama:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live webcasts qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

California:  PLI’s live webcasts qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live webcasts qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live webcasts qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live webcasts qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period.

Iowa:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kansas:  PLI’s live webcasts qualify as “non-traditional” credit. Attorneys are limited to 5 credits of non-traditional programs per reporting period.

Kentucky:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Louisiana:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Minnesota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Mississippi:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Montana:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Nebraska:  PLI’s live webcasts qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New Hampshire:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New Jersey:  PLI’s live webcasts qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live webcasts can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live webcasts. Skills credits may not be earned via live webcasts.

North Carolina:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

North Dakota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Ohio:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  PLI’s live webcasts qualify as “non-traditional” credit. Attorneys are limited to 8 credits of non-traditional programs per reporting period.

Rhode Island:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

South Carolina:  PLI’s live webcasts qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live webcasts qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

West Virginia:  PLI’s live webcasts qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Wyoming:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live webcasts qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live webcasts qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live webcasts can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 15 points of distance learning programs per reporting period.

United Kingdom (CPD-UK):  PLI’s live webcasts can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live webcasts may fulfill Australia’s CPD requirements. Credit limits for live webcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Other Credit Types

CPE Credit (NASBA):  PLI’s live webcasts qualify as “Group-Internet-Based” (GIB) credit.

IRS Continuing Education (IRS-CE):  PLI’s live webcasts may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live webcasts may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live webcasts may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live webcasts may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live webcasts qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live webcasts qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live webcasts may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live webcasts may fulfill SW CPE credit requirements.

 

Why You Should Attend

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.  Our faculty will provide practical tips for preparing for expungement proceedings. They will explore the ethical issues involved in litigating against pro se parties and handling financial fraud cases involving senior citizens. Finally, they will take a look at the latest hot topics and future trends in securities arbitration for 2018.

What You Will Learn

  • Recent Developments in FINRA Arbitration and Mediation
  • Ethics in Financial Fraud Cases Involving Seniors
  • Ethical Considerations for Litigating Against Pro Se Parties
  • Arbitrator Practicum on Insurance Issues in Dispute Resolution
  • Hot Topics and Future Trends Securities Arbitration in 2018

 Special Feature

  • Earn up to two hours of Ethics credits

Who Should Attend

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 an opportunity to meet the FINRA staff who manage the forum.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

9:00 Introduction and Opening Remarks
Sandra Grannum


9:15 Recent and Upcoming Developments in FINRA Arbitration and Mediation
• FINRA Update on Dispute Resolution Task Force Recommendations
• Statistics and Trends
Progress and Challenges Following Mandatory Party Portal Rule
• Amendments to Simplified Arbitration
• Amendments to the Non-public Arbitrator Definition
• Expediting Arbitrator Selection Lists
• Update on the Neutral List Selection System
• Efforts in Arbitrator Recruitment and Diversity

Moderator: Rick Berry
Panelists: Mike Alford, Steven B. Caruso , Manly Ray, Sandra J. Mullings



10:15 Ethical, Practical, and Legal Considerations for Litigating Against Pro Se Parties in Securities Arbitration Hearings
•             Pre-Hearing Interactions with a Pro Se parties
o             ABA Model Rules of Professional Conduct Rule 4.3 and Rule 1.7
•             Techniques to Apply During Hearings against pro se parties
o             ABA Model Rules of Professional Conduct Rule 3.3 and Rule 2.4
•             Giving pro se parties Wide Latitude to Present their Cases
o             ABA Model Rules of Professional Conduct Rule 3.4 and Rule 3.5
•             Settlement Negotiations with pro se Claimants
o             ABA Model Rules of Professional Conduct Rule 4.3, Rule 1.7 and Rule 2.4

Moderator: Harry Walters
Panelists: Diane Ciccone, Jill Clarke, Bruce Sanders, Joseph S. Simms



11:15 Networking Break

11:30 Preparation for Expungement Hearings in Securities Arbitration
• Counseling Your Client on Cost vs. the Value of a “Clean” Record
• Avoiding “Blanket” or Vague Expungement Requests
• Defamation: When to Request Compensatory Damages
• Conflict of Interest Issues

Moderator: Sandra Grannum
Panelists: Ryan K. Bakhtiari, Christopher C. Coss, Phil Cottone, Seth Lipner



12:30 Lunch Break

1:45 Securities Arbitration – Legal Ethics in Financial Fraud Cases Involving Seniors
•     Ethical Considerations with Regard to Disclosure
•     Client identification:
o             ABA Model Rules of Professional Conduct Rule 1.2: Scope of Representation; and Rule 1.4: Communication
•     Competency:
o             ABA Model Rules of Professional Conduct Rule 1.14: Clients with Diminished Capacity
•     Third Party Involvement and Children Participation: Friend or Foe?
o             Conflicts of interest: ABA Model Rules of Professional Conduct Rule 1.7
o             Confidentiality: ABA Model Rules of Professional Conduct Rule 1.6

Moderator: Teresa Verges
Panelists: Samuel B. Edwards, Paul B. Marrow, Beverly Jo Slaughter, Gerri Walsh



2:45 Securities Arbitration - Lifting the Veil: A Practicum on Insurance Issues in Dispute Resolution
• Variable Life Insurance and Variable Universal Life Insurance Cases
• Errors and Omissions Insurance
• Production of Insurance Policies in Discovery

Moderator: Ken Andrichik
Panelists:  Darya Geeter, Glenn Gitomer, Tracey Salmon-Smith, James Yellen



3:45 Networking Break

4:00 Staying Ahead of the Curve: Hot Topics in Securities Arbitration and Future Trends in 2018
• Case law trends,
• Proposed FINRA rules,
• Industry  and public investor advocate reactions and
• What the experts believe is on the horizon for 2018

Moderator: Sandra D. Grannum
Panelists: Rick Berry, Jill Gross, Marnie Lambert, Chris Lewis



5:00 Adjourn

Chairperson(s)
Sandra D. Grannum ~ Drinker Biddle & Reath LLP
Moderator(s)
Kenneth L. Andrichik ~ Senior Vice President; Chief Counsel and Director of Mediation and Strategy, FINRA Office of Dispute Resolution
Richard W. Berry ~ Executive Vice President and Director of Dispute Resolution, FINRA Dispute Resolution
Manly Ray ~ Regional Director, FINRA Dispute Resolution
Speaker(s)
Michael Alford ~ Senior Vice President, Deputy General Counsel, Raymond James & Associates
Ryan K. Bakhtiari ~ Aidikoff, Uhl & Bakhtairi
Steven B. Caruso ~ Maddox Hargett & Caruso, P.C.
Diane Ciccone ~ Law Office of Diane Ciccone
Jill Clarke ~ Janney Montgomery Scott
Philip S. Cottone ~ Mediator – Arbitrator,
Christopher Cross ~ Coss & Momjian LLP
Samuel Edwards ~ Shepherd, Smith, Edwards & Kantas, LLP
Darya Geetter ~ EVP, Deputy GC, LPL Financial LLC
Glenn Gitomer ~ McCausland Keen & Buckman
Jill I. Gross ~ Professor of Law, Elisabeth Haub School of Law, Pace University
Marnie C. Lambert ~ Lambert Law Firm, LLC
Christopher N Lewis ~ Edward Jones
Seth E. Lipner ~ Deutsch & Lipner
Paul B. Marrow ~ New York Law School
Sandra J. Mullings ~ Baruch College
Tracey Salmon-Smith ~ Principal, Bressler Amery & Ross
Bruce Sanders ~ Howard University School of Law
Joseph S. Simms ~ Koehler Fitzgerald LLC
Beverly Jo Slaughter ~ Managing Counsel, Wells Fargo Law Department
Teresa J. Verges ~ Director, Investor Rights Clinic, University of Miami School of Law
Gerri Walsh ~ President, FINRA Investor Education Foundation, FINRA Office of Investor Education
Harry T. Walters ~ Managing Director, Legal and Compliance, Morgan Stanley Wealth Management
James D. Yellen ~ Executive Director, Legal Division, Yellen Mediation Services
Program Attorney(s)
Willis Goodmoore ~ Program Attorney, Practising Law Institute
Ice Miller LLP, One American Square, Suite 2900, Indianapolis, IN 46282

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “traditional” credit. There is no limit to the number of credits an attorney can earn via traditional programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at cleadministrator@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at cleadministrator@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

IIEI Recertification:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may qualify for the Continuing Education Units (CEUs) necessary to fulfill the Certified U.S. Export Compliance Officer® (CUSECO) continuing education requirements.

 

Why You Should Attend

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.  Our faculty will provide practical tips for preparing for expungement proceedings. They will explore the ethical issues involved in litigating against pro se parties and handling financial fraud cases involving senior citizens. Finally, they will take a look at the latest hot topics and future trends in securities arbitration for 2018.

What You Will Learn

  • Recent Developments in FINRA Arbitration and Mediation
  • Ethics in Financial Fraud Cases Involving Seniors
  • Ethical Considerations for Litigating Against Pro Se Parties
  • Arbitrator Practicum on Insurance Issues in Dispute Resolution
  • Hot Topics and Future Trends Securities Arbitration in 2018

 Special Feature

  • Earn up to two hours of Ethics credits

Who Should Attend

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 an opportunity to meet the FINRA staff who manage the forum.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

9:00 Introduction and Opening Remarks
Sandra Grannum


9:15 Recent and Upcoming Developments in FINRA Arbitration and Mediation
• FINRA Update on Dispute Resolution Task Force Recommendations
• Statistics and Trends
Progress and Challenges Following Mandatory Party Portal Rule
• Amendments to Simplified Arbitration
• Amendments to the Non-public Arbitrator Definition
• Expediting Arbitrator Selection Lists
• Update on the Neutral List Selection System
• Efforts in Arbitrator Recruitment and Diversity

Moderator: Rick Berry
Panelists: Mike Alford, Steven B. Caruso , Manly Ray, Sandra J. Mullings



10:15 Ethical, Practical, and Legal Considerations for Litigating Against Pro Se Parties in Securities Arbitration Hearings
•             Pre-Hearing Interactions with a Pro Se parties
o             ABA Model Rules of Professional Conduct Rule 4.3 and Rule 1.7
•             Techniques to Apply During Hearings against pro se parties
o             ABA Model Rules of Professional Conduct Rule 3.3 and Rule 2.4
•             Giving pro se parties Wide Latitude to Present their Cases
o             ABA Model Rules of Professional Conduct Rule 3.4 and Rule 3.5
•             Settlement Negotiations with pro se Claimants
o             ABA Model Rules of Professional Conduct Rule 4.3, Rule 1.7 and Rule 2.4

Moderator: Harry Walters
Panelists: Diane Ciccone, Jill Clarke, Bruce Sanders, Joseph S. Simms



11:15 Networking Break

11:30 Preparation for Expungement Hearings in Securities Arbitration
• Counseling Your Client on Cost vs. the Value of a “Clean” Record
• Avoiding “Blanket” or Vague Expungement Requests
• Defamation: When to Request Compensatory Damages
• Conflict of Interest Issues

Moderator: Sandra Grannum
Panelists: Ryan K. Bakhtiari, Christopher C. Coss, Phil Cottone, Seth Lipner



12:30 Lunch Break

1:45 Securities Arbitration – Legal Ethics in Financial Fraud Cases Involving Seniors
•     Ethical Considerations with Regard to Disclosure
•     Client identification:
o             ABA Model Rules of Professional Conduct Rule 1.2: Scope of Representation; and Rule 1.4: Communication
•     Competency:
o             ABA Model Rules of Professional Conduct Rule 1.14: Clients with Diminished Capacity
•     Third Party Involvement and Children Participation: Friend or Foe?
o             Conflicts of interest: ABA Model Rules of Professional Conduct Rule 1.7
o             Confidentiality: ABA Model Rules of Professional Conduct Rule 1.6

Moderator: Teresa Verges
Panelists: Samuel B. Edwards, Paul B. Marrow, Beverly Jo Slaughter, Gerri Walsh



2:45 Securities Arbitration - Lifting the Veil: A Practicum on Insurance Issues in Dispute Resolution
• Variable Life Insurance and Variable Universal Life Insurance Cases
• Errors and Omissions Insurance
• Production of Insurance Policies in Discovery

Moderator: Ken Andrichik
Panelists:  Darya Geeter, Glenn Gitomer, Tracey Salmon-Smith, James Yellen



3:45 Networking Break

4:00 Staying Ahead of the Curve: Hot Topics in Securities Arbitration and Future Trends in 2018
• Case law trends,
• Proposed FINRA rules,
• Industry  and public investor advocate reactions and
• What the experts believe is on the horizon for 2018

Moderator: Sandra D. Grannum
Panelists: Rick Berry, Jill Gross, Marnie Lambert, Chris Lewis



5:00 Adjourn

Chairperson(s)
Sandra D. Grannum ~ Drinker Biddle & Reath LLP
Moderator(s)
Kenneth L. Andrichik ~ Senior Vice President; Chief Counsel and Director of Mediation and Strategy, FINRA Office of Dispute Resolution
Richard W. Berry ~ Executive Vice President and Director of Dispute Resolution, FINRA Dispute Resolution
Manly Ray ~ Regional Director, FINRA Dispute Resolution
Speaker(s)
Michael Alford ~ Senior Vice President, Deputy General Counsel, Raymond James & Associates
Ryan K. Bakhtiari ~ Aidikoff, Uhl & Bakhtairi
Steven B. Caruso ~ Maddox Hargett & Caruso, P.C.
Diane Ciccone ~ Law Office of Diane Ciccone
Jill Clarke ~ Janney Montgomery Scott
Philip S. Cottone ~ Mediator – Arbitrator,
Christopher Cross ~ Coss & Momjian LLP
Samuel Edwards ~ Shepherd, Smith, Edwards & Kantas, LLP
Darya Geetter ~ EVP, Deputy GC, LPL Financial LLC
Glenn Gitomer ~ McCausland Keen & Buckman
Jill I. Gross ~ Professor of Law, Elisabeth Haub School of Law, Pace University
Marnie C. Lambert ~ Lambert Law Firm, LLC
Christopher N Lewis ~ Edward Jones
Seth E. Lipner ~ Deutsch & Lipner
Paul B. Marrow ~ New York Law School
Sandra J. Mullings ~ Baruch College
Tracey Salmon-Smith ~ Principal, Bressler Amery & Ross
Bruce Sanders ~ Howard University School of Law
Joseph S. Simms ~ Koehler Fitzgerald LLC
Beverly Jo Slaughter ~ Managing Counsel, Wells Fargo Law Department
Teresa J. Verges ~ Director, Investor Rights Clinic, University of Miami School of Law
Gerri Walsh ~ President, FINRA Investor Education Foundation, FINRA Office of Investor Education
Harry T. Walters ~ Managing Director, Legal and Compliance, Morgan Stanley Wealth Management
James D. Yellen ~ Executive Director, Legal Division, Yellen Mediation Services
Program Attorney(s)
Willis Goodmoore ~ Program Attorney, Practising Law Institute
New Jersey Groupcast Location

New Jersey Institute for Continuing Legal Education, One Constitution Square, New Brunswick, NJ 08901-1520. 732-249-5100.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “traditional” credit. There is no limit to the number of credits an attorney can earn via traditional programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at cleadministrator@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at cleadministrator@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

IIEI Recertification:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may qualify for the Continuing Education Units (CEUs) necessary to fulfill the Certified U.S. Export Compliance Officer® (CUSECO) continuing education requirements.

 

Why You Should Attend

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.  Our faculty will provide practical tips for preparing for expungement proceedings. They will explore the ethical issues involved in litigating against pro se parties and handling financial fraud cases involving senior citizens. Finally, they will take a look at the latest hot topics and future trends in securities arbitration for 2018.

What You Will Learn

  • Recent Developments in FINRA Arbitration and Mediation
  • Ethics in Financial Fraud Cases Involving Seniors
  • Ethical Considerations for Litigating Against Pro Se Parties
  • Arbitrator Practicum on Insurance Issues in Dispute Resolution
  • Hot Topics and Future Trends Securities Arbitration in 2018

 Special Feature

  • Earn up to two hours of Ethics credits

Who Should Attend

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 an opportunity to meet the FINRA staff who manage the forum.

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

9:00 Introduction and Opening Remarks
Sandra Grannum


9:15 Recent and Upcoming Developments in FINRA Arbitration and Mediation
• FINRA Update on Dispute Resolution Task Force Recommendations
• Statistics and Trends
Progress and Challenges Following Mandatory Party Portal Rule
• Amendments to Simplified Arbitration
• Amendments to the Non-public Arbitrator Definition
• Expediting Arbitrator Selection Lists
• Update on the Neutral List Selection System
• Efforts in Arbitrator Recruitment and Diversity

Moderator: Rick Berry
Panelists: Mike Alford, Steven B. Caruso , Manly Ray, Sandra J. Mullings



10:15 Ethical, Practical, and Legal Considerations for Litigating Against Pro Se Parties in Securities Arbitration Hearings
•             Pre-Hearing Interactions with a Pro Se parties
o             ABA Model Rules of Professional Conduct Rule 4.3 and Rule 1.7
•             Techniques to Apply During Hearings against pro se parties
o             ABA Model Rules of Professional Conduct Rule 3.3 and Rule 2.4
•             Giving pro se parties Wide Latitude to Present their Cases
o             ABA Model Rules of Professional Conduct Rule 3.4 and Rule 3.5
•             Settlement Negotiations with pro se Claimants
o             ABA Model Rules of Professional Conduct Rule 4.3, Rule 1.7 and Rule 2.4

Moderator: Harry Walters
Panelists: Diane Ciccone, Jill Clarke, Bruce Sanders, Joseph S. Simms



11:15 Networking Break

11:30 Preparation for Expungement Hearings in Securities Arbitration
• Counseling Your Client on Cost vs. the Value of a “Clean” Record
• Avoiding “Blanket” or Vague Expungement Requests
• Defamation: When to Request Compensatory Damages
• Conflict of Interest Issues

Moderator: Sandra Grannum
Panelists: Ryan K. Bakhtiari, Christopher C. Coss, Phil Cottone, Seth Lipner



12:30 Lunch Break

1:45 Securities Arbitration – Legal Ethics in Financial Fraud Cases Involving Seniors
•     Ethical Considerations with Regard to Disclosure
•     Client identification:
o             ABA Model Rules of Professional Conduct Rule 1.2: Scope of Representation; and Rule 1.4: Communication
•     Competency:
o             ABA Model Rules of Professional Conduct Rule 1.14: Clients with Diminished Capacity
•     Third Party Involvement and Children Participation: Friend or Foe?
o             Conflicts of interest: ABA Model Rules of Professional Conduct Rule 1.7
o             Confidentiality: ABA Model Rules of Professional Conduct Rule 1.6

Moderator: Teresa Verges
Panelists: Samuel B. Edwards, Paul B. Marrow, Beverly Jo Slaughter, Gerri Walsh



2:45 Securities Arbitration - Lifting the Veil: A Practicum on Insurance Issues in Dispute Resolution
• Variable Life Insurance and Variable Universal Life Insurance Cases
• Errors and Omissions Insurance
• Production of Insurance Policies in Discovery

Moderator: Ken Andrichik
Panelists:  Darya Geeter, Glenn Gitomer, Tracey Salmon-Smith, James Yellen



3:45 Networking Break

4:00 Staying Ahead of the Curve: Hot Topics in Securities Arbitration and Future Trends in 2018
• Case law trends,
• Proposed FINRA rules,
• Industry  and public investor advocate reactions and
• What the experts believe is on the horizon for 2018

Moderator: Sandra D. Grannum
Panelists: Rick Berry, Jill Gross, Marnie Lambert, Chris Lewis



5:00 Adjourn

Chairperson(s)
Sandra D. Grannum ~ Drinker Biddle & Reath LLP
Moderator(s)
Kenneth L. Andrichik ~ Senior Vice President; Chief Counsel and Director of Mediation and Strategy, FINRA Office of Dispute Resolution
Richard W. Berry ~ Executive Vice President and Director of Dispute Resolution, FINRA Dispute Resolution
Manly Ray ~ Regional Director, FINRA Dispute Resolution
Speaker(s)
Michael Alford ~ Senior Vice President, Deputy General Counsel, Raymond James & Associates
Ryan K. Bakhtiari ~ Aidikoff, Uhl & Bakhtairi
Steven B. Caruso ~ Maddox Hargett & Caruso, P.C.
Diane Ciccone ~ Law Office of Diane Ciccone
Jill Clarke ~ Janney Montgomery Scott
Philip S. Cottone ~ Mediator – Arbitrator,
Christopher Cross ~ Coss & Momjian LLP
Samuel Edwards ~ Shepherd, Smith, Edwards & Kantas, LLP
Darya Geetter ~ EVP, Deputy GC, LPL Financial LLC
Glenn Gitomer ~ McCausland Keen & Buckman
Jill I. Gross ~ Professor of Law, Elisabeth Haub School of Law, Pace University
Marnie C. Lambert ~ Lambert Law Firm, LLC
Christopher N Lewis ~ Edward Jones
Seth E. Lipner ~ Deutsch & Lipner
Paul B. Marrow ~ New York Law School
Sandra J. Mullings ~ Baruch College
Tracey Salmon-Smith ~ Principal, Bressler Amery & Ross
Bruce Sanders ~ Howard University School of Law
Joseph S. Simms ~ Koehler Fitzgerald LLC
Beverly Jo Slaughter ~ Managing Counsel, Wells Fargo Law Department
Teresa J. Verges ~ Director, Investor Rights Clinic, University of Miami School of Law
Gerri Walsh ~ President, FINRA Investor Education Foundation, FINRA Office of Investor Education
Harry T. Walters ~ Managing Director, Legal and Compliance, Morgan Stanley Wealth Management
James D. Yellen ~ Executive Director, Legal Division, Yellen Mediation Services
Program Attorney(s)
Willis Goodmoore ~ Program Attorney, Practising Law Institute
Atlanta Groupcast Location

Atlanta Bar Association, 400 International Tower, 229 Peachtree Street, NE, Atlanta, GA 30303-1601. (404) 521-0781.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “traditional” credit. There is no limit to the number of credits an attorney can earn via traditional programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at cleadministrator@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at cleadministrator@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

IIEI Recertification:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may qualify for the Continuing Education Units (CEUs) necessary to fulfill the Certified U.S. Export Compliance Officer® (CUSECO) continuing education requirements.

 

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