Demonstration of an Expungement Hearing

Recorded on: Aug. 3, 2012

Running Time: 01:01:02

Transcript
Overview
Faculty

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Taken from the Web Program Securities Arbitration 2012 recorded August, 2012 in New York.

Lecture Topics [01:01:02]

Demonstration of an Expungement Hearing [01:01:02]

Panelists will provide an interactive demonstration of an expungement hearing, including ethical considerations that may arise in an expungement scenario:

Representations and limited representations
Conflicts in joint representations
Participants and input into the process

The purchase price of this segment includes the following article from the Course Handbook available online:

Securities Arbitration: Expungements in 2012
Sandra D. Grannum
The New FINRA Suitability Rules
Seth E. Lipner

Presentation Material

Demonstration of an Expungement Hearing
Harry T. Walters

Speaker(s)

Philip S. Cottone ~ Mediator and Arbitrator,

Seth E. Lipner ~ Professor of Law, Zicklin School of Business, Baruch College, Deutsch & Lipner

Laurence S. Moy ~ Outten & Golden LLP

Beverly Jo Slaughter ~ Managing Counsel, Wells Fargo Law Department

Harry T. Walters ~ Executive Director; Legal and Compliance, Morgan Stanley Smith Barney

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Demonstration of an Expungement Hearing

Full Transcript:

Transcripts of selected programs may be accessed by Privileged Members. If you are a member, please log in. If you are not a member, please consider having your firm join. Or become an Individual Member.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.


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