Securities Arbitration 2012

Why you should attend

Last year’s fervor over the fairness of arbitration has not so much subsided as it has been refined. In response to this shift, in 2012 FINRA will focus on streamlining and improving its dispute resolution forum, including fine-tuning the arbitrator disclosure process. FINRA’s goal is to ensure early disclosure of relevant arbitrator information, in order to save the parties the time and expense associated with replacing arbitrators whose disclosure is incomplete, while allowing for the parties’ continued input into the arbitrator selection process.

This year’s Securities Arbitration program will feature FINRA Dispute Resolution’s Director, staff, and arbitrators, as well as noted academics and experienced attorneys who represent both customers and industry players. Our faculty will explore FINRA’s efforts to improve the arbitrator disclosure process and provide you with practical tips on drafting claims and answers, striking and ranking proposed arbitrators, trying expungement hearings and resolving common ethical dilemmas that arise in securities arbitration practice.

What you will learn

• Find out what’s new at FINRA, including:
  - Impact of recent rule changes
  - Proposed changes in FINRA Dispute Resolution’s arbitration rules and practices
  - Plans for the continued enhancement of the arbitrator selection process
  - The evolution of the discovery process in FINRA arbitration
• Examine the proposed rules for brokers seeking expungement of their record in the Central Registration Depository but who are not named parties in disputes between firms and customers
• Analyze recent legislative developments and case law trends
• Learn about a new pilot program for large cases
• Get tips on avoiding “cramdown” arbitrator appointments

Plus participate in our special interactive demonstration of an expungement hearing and earn ethics credit at our new session exploring scenarios that highlight the ethical traps that counsel and arbitrators may encounter. You’ll also get a special introduction to the new Web portal that FINRA is currently developing, which will allow parties and arbitrators to exercise greater control over the administration of their cases.

Who should attend

Attorneys who represent customers, brokers or broker-dealers in securities arbitration, or those who are seeking to enter into the practice, and who would like a comprehensive review of developments - including FINRA rule changes, SEC rule-making and case law - that have occurred in the field over the past year, as well as practice tips. Additionally, FINRA arbitrators will receive valuable information and guidance from FINRA staff, seasoned practitioners and arbitrators, as well as a notation on their FINRA Arbitrator Disclosure Reports that they attended the program.