Course Handbook  Course Handbook

Securities Arbitration 2017

Publication Date: September 2017 Number of Volumes: 1
ISBN Number: 9781402429910 Page Count: 488 pages

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Table of Contents
Chapter 1: Arbitration Case Law Update 2017 (July 21, 2017) Sandra D Grannum ~ Drinker Biddle & Reath LLP
Chapter 2: FINRA 2017 Priorities: Regulator Moves Away from “Culture of Compliance” (January 10, 2017) Sandra D Grannum ~ Drinker Biddle & Reath LLP
Chapter 3: FINRA Dispute Resolution Update: 2017 Arbitration Reform (February 28, 2017) Sandra D Grannum ~ Drinker Biddle & Reath LLP
Chapter 4: FINRA Proposes New Requirements to Address High-Risk and Recidivist Brokers (May 17, 2017) Sandra D Grannum ~ Drinker Biddle & Reath LLP
Chapter 5: SEC Release No. 34-55431, Amendments to Financial Responsibility Rules for Broker-Dealers, File No. S7-08-07 Tracey Salmon-Smith ~ Principal, Bressler Amery & Ross
Chapter 6: SEC Release No. 34-66910, Amendments to Financial Responsibility Rules for Broker-Dealers, File No. S7-08-07 Tracey Salmon-Smith ~ Principal, Bressler Amery & Ross
Chapter 7: Third Amendment to Insurance Regulation 60
Chapter 8: Replacement of Life Insurance Policies and Annuity Contracts
Chapter 9: Former Insurance Agency Owner Pleads Guilty to Defrauding Clients Out of More Than $500,000
Chapter 10: 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 ~ Principal, Bressler Amery & Ross
Chapter 11: Release No. 34-66910, File No. S7-08-07, Amendments to Financial Responsibility Rules for Broker-Dealers (June 8, 2012)
Chapter 12: Regulatory Notice 17-06: Communications with the Public
Chapter 13: Regulatory Notice 11-21: Fidelity Bonds
Chapter 14: Regulatory Notice 09-42: Variable Life Settlement Transactions
Chapter 15: Regulatory Notice 08-39: Variable Insurance Products
Chapter 16: 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 ~ Maddox Hargett & Caruso, P.C.
Chapter 17: 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 ~ Maddox Hargett & Caruso, P.C.
Chapter 18: Regulatory Notice 17-13: Sanction Guidelines
Chapter 19: Post-Settlement Expungements: An Investor Protection Problem That Continues to Wait for a FINRA Solution Steven B Caruso ~ Maddox Hargett & Caruso, P.C.
Ryan K Bakhtiari ~ Aidikoff, Uhl & Bakhtairi
Chapter 20: The Financial Industry Regulatory Authority’s Dispute Resolution Activities (Revised July 19, 2017)
Chapter 21: Ethical, Practical, and Legal Considerations for Litigating Against Pro Se Parties in Securities Arbitration Hearings Diane Ciccone ~ Law Office of Diane Ciccone
Jill Clarke ~ Janney Montgomery Scott
Bruce Sanders ~ Howard University School of Law
Joseph S Simms ~ Koehler Fitzgerald LLC
Harry T Walters ~ Managing Director, Legal and Compliance, Morgan Stanley Wealth Management
Chapter 22: Assessing Damages in Bond Cases Seth E Lipner ~ Deutsch & Lipner
Chapter 23: Challenging Expungements After Settlements David E Robbins ~ Kaufmann, Gildin & Robbins LLP
Chapter 24: Legal Ethics and an Aging Population: Securities Practitioners’ Roles in Preventing Financial Exploitation of the Elderly (Updated 2017) Teresa J Verges ~ Director, Investor Rights Clinic, University of Miami School of Law
Chapter 25: Regulatory Notice 17-11: Financial Exploitation of Seniors
Chapter 26: Report on the FINRA Securities Helpline for Seniors
Chapter 27: Lifting the Veil: A Practicum on Insurance Issues in Dispute Resolution Tracey Salmon-Smith ~ Principal, Bressler Amery & Ross
Chapter 28: Insurance Policy Twisting Glenn S Gitomer ~ McCausland Keen & Buckman
Chapter 29: Insurance Issues in Arbitration and Mediation James D Yellen ~ Executive Director, Legal Division, Yellen Mediation Services
Barry R Temkin ~ Mound Cotton Wollan & Greengrass
Atea Martin ~ Berkshire Hathaway Specialty Insurance
Chapter 30: The DOL’s Best Interest Contract Requirement: Effect on Litigation Against Broker-Dealers (July 21, 2017) Jamie Helman ~ Drinker Biddle & Reath LLP
Joshua Waldbeser ~ Drinker Biddle & Reath LLP
Index

This Course Handbook was compiled for the program, Securities Arbitration 2017.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Sandra D Grannum, Drinker Biddle & Reath LLP
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Securities Arbitration 2017 Sandra D Grannum, Drinker Biddle & Reath LLP
 
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