On-Demand   On-Demand Web Programs

Securities Arbitration 2017

Released on: Oct. 4, 2017
Running Time: 06:13:03

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.

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

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.

Lecture Topics [Total time 06:13:03]

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

  • Introduction and Opening Remarks* [00:03:22]
    Sandra D. Grannum
  • Recent and Upcoming Developments in FINRA Arbitration and Mediation [01:05:15]
    Richard W. Berry, Michael Alford, Steven B. Caruso, Manly Ray, Sandra J. Mullings
  • Ethical, Practical, and Legal Considerations for Litigating Against Pro Se Parties in Securities Arbitration Hearings [00:58:28]
    Harry T. Walters, Diane Ciccone, Jill Clarke, Bruce Sanders, Joseph S. Simms
  • Preparation for Expungement Hearings in Securities Arbitration [01:03:35]
    Sandra D. Grannum, Ryan K. Bakhtiari, Christopher Coss, Philip S. Cottone, Seth E. Lipner
  • Securities Arbitration – Legal Ethics in Financial Fraud Cases Involving Seniors [01:01:18]
    Teresa J. Verges, Samuel Edwards, Paul B. Marrow, Beverly Jo Slaughter, Gerri Walsh
  • Securities Arbitration - Lifting the Veil: A Practicum on Insurance Issues in Dispute Resolution [01:00:08]
    Kenneth L. Andrichik, Darya Geetter, Tracey Salmon-Smith, Glenn Gitomer, James D. Yellen
  • Staying Ahead of the Curve: Hot Topics in Securities Arbitration and Future Trends in 2018 [01:00:57]
    Sandra D. Grannum, Richard W. Berry, Jill I. Gross, Marnie C. Lambert, Christopher N Lewis

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


  • COMPLETE COURSE HANDBOOK
  • Arbitration Case Law Update 2017 (July 21, 2017)
    Sandra D. Grannum
  • FINRA 2017 Priorities: Regulator Moves Away from “Culture of Compliance” (January 10, 2017)
    Sandra D. Grannum
  • FINRA Dispute Resolution Update: 2017 Arbitration Reform (February 28, 2017)
    Sandra D. Grannum
  • FINRA Proposes New Requirements to Address High-Risk and Recidivist Brokers (May 17, 2017)
    Sandra D. Grannum
  • SEC Release No. 34-55431, Amendments to Financial Responsibility Rules for Broker-Dealers, File No. S7-08-07
    Tracey Salmon-Smith
  • SEC Release No. 34-66910, Amendments to Financial Responsibility Rules for Broker-Dealers, File No. S7-08-07
    Tracey Salmon-Smith
  • Third Amendment to Insurance Regulation 60
  • Replacement of Life Insurance Policies and Annuity Contracts
  • Former Insurance Agency Owner Pleads Guilty to Defrauding Clients Out of More Than $500,000
  • PIABA: One Out of Three Investor Awards in FINRA Arbitration Go Unpaid, “National Recovery Pool” Needed to Remedy Problem (February 25, 2016)
    Tracey Salmon-Smith
  • Release No. 34-66910, File No. S7-08-07, Amendments to Financial Responsibility Rules for Broker-Dealers (June 8, 2012)
  • Regulatory Notice 17-06: Communications with the Public
  • Regulatory Notice 11-21: Fidelity Bonds
  • Regulatory Notice 09-42: Variable Life Settlement Transactions
  • Regulatory Notice 08-39: Variable Insurance Products
  • Appendix 1: Survey of FINRA Dispute Resolution Arbitration Awards Expungement Requests in Public Customer Awards—Review Period: January 1, 2013 to June 30, 2017
    Steven B. Caruso
  • Appendix 2: Survey of FINRA Dispute Resolution Arbitration Awards Expungement Requests in Public Customer Awards, Post-Settlement Awards—Review Period: January 1, 2013 to June 30, 2017
    Steven B. Caruso
  • Regulatory Notice 17-13: Sanction Guidelines
  • Post-Settlement Expungements: An Investor Protection Problem That Continues to Wait for a FINRA Solution
    Ryan K. Bakhtiari, Steven B. Caruso
  • The Financial Industry Regulatory Authority’s Dispute Resolution Activities (Revised July 19, 2017)
  • Ethical, Practical, and Legal Considerations for Litigating Against Pro Se Parties in Securities Arbitration Hearings
    Joseph S. Simms, Harry T. Walters, Bruce Sanders, Diane Ciccone, Jill Clarke
  • Assessing Damages in Bond Cases
    Seth E. Lipner
  • Challenging Expungements After Settlements
    David E. Robbins
  • Legal Ethics and an Aging Population: Securities Practitioners’ Roles in Preventing Financial Exploitation of the Elderly (Updated 2017)
    Teresa J. Verges
  • Regulatory Notice 17-11: Financial Exploitation of Seniors
  • Report on the FINRA Securities Helpline for Seniors
  • Lifting the Veil: A Practicum on Insurance Issues in Dispute Resolution
    Tracey Salmon-Smith
  • Insurance Policy Twisting
    Glenn S. Gitomer
  • Insurance Issues in Arbitration and Mediation
    James D. Yellen, Barry R. Temkin, Atea Martin
  • The DOL’s Best Interest Contract Requirement: Effect on Litigation Against Broker-Dealers (July 21, 2017)
    Jamie Helman, Joshua Waldbeser

Presentation Material


  • Securities Arbitration - Legal Ethics in Financial Fraud Cases Involving Seniors
    Teresa J. Verges
Chairperson(s)
Sandra D. Grannum ~ Drinker Biddle & Reath LLP
Moderator(s)
Kenneth L. Andrichik ~ Senior Vice President and Counsel, FINRA Office of Dispute Resolution
Richard W. Berry ~ Executive Vice President, Director of Dispute Resolution, Financial Industry Regulatory Authority (FINRA)
Manly Ray ~ Regional Director, FINRA Dispute Resolution
Speaker(s)
Mike Alford ~ Associate General Counsel, Raymond James Fncl Inc
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
Christopher Coss ~ Coss & Momjian LLP
Philip S. Cottone ~ Mediator – Arbitrator,
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 ~ Drinker Biddle & Reath LLP
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
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.


U.S. MCLE States

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

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Arizona:  PLI’s on-demand web programs 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 on-demand web programs are not approved for Arkansas CLE credit.

California:  PLI’s on-demand web programs 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 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.

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 on-demand web programs 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 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.

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:  PLI’s on-demand web programs qualify as “A/V” credit. Attorneys are limited to 22.5 credits of A/V programs per reporting period.

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
Securities Arbitration 2018 (New York, NY) Sep. 26, 2018

Handbook  Course Handbook Archive

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