On-Demand   On-Demand Web Programs

Securities Arbitration 2018

Released on: Oct. 3, 2018
Running Time: 06:12:39
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 the use of experts and discovery in arbitration proceedings. They will explore the ethical challenges involved in technology and security in arbitration and mediations and diversity and inclusion and the elimination of bias in the forum. Finally, they will take a look at the latest hot topics and future trends in securities arbitration for 2018.

Lecture Topics [Total time 06:12:39]

Segments with an asterisk (*) are available only with the purchase of the entire program.
  • Opening Remarks* [00:04:17]
    Sandra D. Grannum
  • Recent and Upcoming Developments in FINRA Arbitration and Mediation [01:05:55]
    Richard W. Berry, James Schroder, Barry R Lax, Steven B. Caruso, Beverly Jo Slaughter
  • Diversity, Inclusion and Elimination of Bias in Arbitration and Mediation [00:57:51]
    Kenneth L. Andrichik, Beth Trent, Bert Ware, Kathy S Adams, Marnie C. Lambert, Laura A. Kaster
  • Discovery – How Much is Too Much [01:00:45]
    Tracey Salmon-Smith, Jamie Helman, Darya Geetter, Katrina M. Boice, Paul B Radvany, Louis Miron
  • Know When to Hold Them, Know When to Show Them: A Practicum on the Use of Experts and Their Examination [01:01:05]
    Sandra D. Grannum, Kenneth G. Crowley, Ross Intelisano, David E. Robbins, Susan Harper
  • Technology Security, and Ethical Challenges in Arbitration and Mediation [01:01:44]
    Teresa J. Verges, Nicole Iannarone, Jeffrey Jury, Ellen Slipp
  • Staying Ahead of the Curve: Hot Topics in Securities Arbitration and Future Trends in 2018 [01:01:02]
    Sandra D. Grannum, Richard W. Berry, Elissa Germaine, Andrew Stoltmann, Harry T. Walters

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

  • COMPLETE COURSE HANDBOOK
  • The Financial Industry Regulatory Authority’s Dispute Resolution Activities (Revised July 17, 2018)
  • Financial Services Industry: Trends in Management Representation of Minorities and Women and Diversity Practices, 2007–2015 (November 2017)
  • “Old, White, and Male”: Increasing Gender Diversity in Arbitration Panels (Summer 2014)
    Caley E. Turner
  • Vault/MCCA Law Firm Diversity Survey, 2017 Report
  • The Lack of Diversity in ADR—and the Current Beneath, The Bencher, March/April 2017
    Theodore K. Cheng, Laura A. Kaster
  • Beth Trent, Deborah Masucci and Timothy K. Lewis, The Dismal State of Diversity: Mapping a Chart for Change
    Beth Trent
  • Keys to Successful Motions to Compel
    Paul Radvany, Christine Lazaro
  • The Importance of Storytelling in Arbitration
    Paul Radvany
  • An Inside Look from Outside Counsel on the eDiscovery Process for Broker-Dealers (July 16, 2018)
    Tracey Salmon-Smith
  • Best Practices When Working with Expert Witnesses (July 13, 2018)
    Susan L. Harper
  • 5 Tips to Help Get the Most from Your Expert Witness
    Geoff Winkler, Susan L. Harper
  • FINRA Rolls Out Proposal for High Risk Brokers, Addresses Examination Enhancements (May 24, 2018)
    Susan L. Harper
  • FINRA Tackles Arbitration Procedure Issues (March 8, 2018)
    Susan L. Harper
  • Securities Arbitration Experts from the Arbitrators’ Perspective: Neither a “Hired Gun” nor a “Man for All Seasons” (July 3, 2018)
    David E. Robbins
  • Technology in Practice: Keeping an Eye on Lawyers’ Ethical Obligations
    Teresa J. Verges
  • Arbitration Case Law Update 2018 (July 17, 2018)
    Sandra D. Grannum

Presentation Material

  • The Financial Industry Regulatory Authority's Dispute Resolution Activities
  • Recent and Upcoming Developments in FINRA Arbitration and Mediation
    Richard W. Berry, Steven B. Caruso, Barry R Lax, James Schroder, Beverly Jo Slaughter
  • Diversity, Inclusion and Elimination of Bias in Arbitration and Mediation
    Laura A. Kaster
  • Diversity, Inclusion and Elimination of Bias in Arbitration and Mediation
    Kathy S Adams, Kenneth L. Andrichik, Laura A. Kaster, Marnie C. Lambert, Beth Trent, Bert Ware
  • Discovery - How Much is Too Much
    Katrina M. Boice, Darya Geetter, Jamie Helman, Louis Miron, Paul B Radvany, Tracey Salmon-Smith
  • Technology Security, and Ethical Challenges in Arbitration and Mediation
    Nicole Iannarone, Jeffrey Jury, Ellen Slipp, Teresa J. Verges
Chairperson(s)
Sandra D. Grannum ~ Drinker Biddle & Reath LLP
Speaker(s)
Kathy S Adams ~ Mediator, Kathy Adams Dispute Resolution Services
Kenneth L. Andrichik ~ Senior Vice President and Counsel, FINRA Office of Dispute Resolution
Richard W. Berry ~ Executive Vice President, Director of Dispute Resolution, FINRA Office of Dispute Resolution
Katrina M. Boice ~ Katrina Boice Law
Steven B. Caruso ~ Maddox Hargett & Caruso, P.C.
Kenneth G. Crowley ~ Executive Director, UBS Wealth Management
Darya Geetter ~ EVP, Deputy General Counsel, LPL Financial LLC
Elissa Germaine ~ Director, Pace Investor Rights Clinic, John Jay Legal Services
Susan Harper ~ Managing Director, Bates Group LLC
Jamie Helman ~ Drinker Biddle & Reath LLP
Nicole Iannarone ~ Associate Clinical Professor, Director, Investor Advocacy Clinic, Georgia State University College of Law
Ross Intelisano ~ Rich, Intelisano & Katz, LLP
Jeffrey Jury ~ University of Texas School of Law
Laura A. Kaster ~ Appropriate Dispute Solutions
Marnie C. Lambert ~ Lambert Law Firm, LLC
Barry R Lax ~ Lax & Neville LLP
Louis Miron ~ Attorney at Law
Paul B Radvany ~ Clinical Professor of Law, Fordham Univ School of Law
David E. Robbins ~ Kaufmann, Gildin & Robbins LLP
Tracey Salmon-Smith ~ Drinker Biddle & Reath LLP
James Schroder ~ Associate Vice President, FINRA Dispute Resolution
Beverly Jo Slaughter ~ Managing Counsel, Wells Fargo Law Department
Ellen Slipp ~ Managing Director, Citibank Private Bank
Andrew Stoltmann ~ Stoltmann Law Offices, P.C.
Teresa J. Verges ~ Director, Investor Rights Clinic, University of Miami School of Law
Harry T. Walters ~ Managing Director, Morgan Stanley
Bert Ware ~ Bressler Amery & Ross, P.C.
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.


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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 on-demand web programs qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period, no more than 6 of which may be audio-only.

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Idaho:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

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 on-demand web programs qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period. Effective January 1, 2019, the limit of distance education per reporting period will increase from 9 to 18 credits.

Iowa:  PLI’s on-demand web programs qualify as “unmoderated” credit. Attorneys are limited to 6 credits of unmoderated programs per reporting period.

Kansas:  PLI’s on-demand web programs qualify as “prerecorded” credit. Attorneys are limited to 6 credits of prerecorded programs per reporting period.

Kentucky:  PLI’s on-demand web programs qualify as “non-live” credit. Attorneys are limited to 6 non-live credits per reporting period.

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

Maine:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5.5 credits of self-study per reporting period.

Minnesota:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 15 on-demand credits per reporting period.

Mississippi:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

Montana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

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

Nevada:  PLI’s on-demand web programs qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

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

New Jersey:  PLI’s on-demand web programs 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 on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

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 on-demand web programs can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand web programs. Ethics and skills credits may not be earned via on-demand web programs.

North Carolina:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

North Dakota:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

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

Oklahoma:  PLI’s on-demand web programs qualify as “online, on-demand” credit. Attorneys are limited to 6 credits of online, on-demand programs per reporting period.

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 on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

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

Rhode Island:  PLI’s on-demand web programs qualify as “video replay” credit. Attorneys are limited to 6 video replay credits per reporting period.

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

Tennessee:  PLI’s on-demand web programs 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 on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

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 on-demand web programs qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

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

West Virginia:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 15 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand web programs.

Wyoming:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s on-demand web programs are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

Ontario (CPD-ON):  PLI’s on-demand web programs qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

Quebec (CPD-QC):  PLI’s on-demand web programs can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s on-demand web programs are not approved for CPD-HK credit.

United Kingdom (CPD-UK):  PLI’s on-demand web programs can fulfill the United Kingdom’s CPD requirements.

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

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s on-demand web programs may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as the “QAS Self-Study” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s on-demand web programs 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 on-demand web programs 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 on-demand web programs may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s on-demand web programs may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s on-demand web programs qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

Compliance Certification Board (CCB):  PLI’s on-demand web programs qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s on-demand web programs are not approved for CAMS credit.

New York State Social Worker Continuing Education (SW CPE):  PLI’s on-demand web programs are not approved for SW CPE credit.

American Bankers Association Professional Certification (ABA):  PLI’s on-demand web programs may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s on-demand web programs are not approved for CFP credit.

 

Related Items

Live Programs  Live Programs

Securities Arbitration 2019 (New York, NY) Sep. 18, 2019

Handbook  Course Handbook Archive

Securities Arbitration 2018 Sandra D. Grannum, Drinker Biddle & Reath LLP
 
Securities Arbitration 2017 Sandra D. Grannum, Drinker Biddle & Reath LLP
 
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