HomeWebcastEmployment Dispute Arbitration at FINRA: Demystifying Litigation Challenges
Online CLE Employment Arbitration CLE

Employment Dispute Arbitration at FINRA: Demystifying Litigation Challenges

Live Webcast Date: Tuesday, August 28, 2018 from 3:00 pm to 4:00 pm (ET)
CLE Alternative Dispute ResolutionEmployment/Labor Law CLE & CPEFinancial Industry CLE & CPERecording

Online CLE Employment Arbitration

Join us for this Knowledge Group Online CLE Employment Arbitration Webinar. Because financial services employers operate in a regulated landscape, they face a unique range of compliance issues and challenges when it comes to employment laws. Their compliance to several regulatory systems affects the various phases of employment relationship which includes dispute resolution.

To handle employment and investment disputes for the financial services industry, the Financial Industry Regulatory Authority (FINRA) provides an arbitral forum for investors, individual brokers, and brokerage firms.

Join a panel of key thought leaders and lawyers assembled by The Knowledge Group as they bring the audience to a road beyond the basics of employment dispute arbitration at FINRA and as they delve into an in-depth analysis of the current trends and recent court rulings. Speakers will also provide the audience with practical strategies in bringing out the best in these arbitrations in a rapidly evolving legal climate.

Key topics include:

  • Employment Dispute Arbitration at FINRA: An Overview
  • Current Trends and Recent Court Rulings
  • Key Issues
  • Litigation Challenges
  • Practical Arbitration Strategies

Who Should Attend

  • Financial Services Employers
  • Labor and Employment Law Attorneys
  • HR Executives
  • Arbitrators
  • Labor Counsel
  • In-House Counsel
  • Financial Advisers
  • Financial Executives & Officers
  • Legal and Compliance Executives
  • Other related & Interested Professionals


Online CLE Employment Arbitration
Rogge Dunn
Rogge Dunn Group, PC
Online CLE Employment Arbitration
Tracey Salmon-Smith
Drinker Biddle & Reath LLP

Click Here to Read Additional Material

Online CLE Employment Arbitration

Rogge Dunn, Partner
Rogge Dunn Group, PC
  • Wrongful Discharge cases – arbitrating them
  • Deferred compensation

Tracey Salmon-Smith, Partner
Drinker Biddle & Reath LLP

Defending respondents in arbitration matters before FINRA - U5 defamation claims

  • Best practices - Rules, the process, arbitrator selection, discovery, hearing, etc
  • Forms U4 and U5 – requirement that information be truthful and accurate
  • Expungements – proposed changes to the rules
  • Best practices re: expungements

Online CLE Employment Arbitration

Online CLE Employment Arbitration

Rogge DunnPartnerRogge Dunn Group, PC

Rogge Dunn is a trial attorney and counselor for Fortune 500 companies, wirehouses and prominent Financial Advisors, executives and entrepreneurs.  Dunn has developed a specialty involving significant matters in the financial industry.  This includes regulatory issues, wrongful discharge, moving teams, OTRs, non-competes, the Protocol for Broker Recruiting, promissory note defense and forfeiture of deferred compensation.

He has twice set the largest wrongful discharge arbitration award against Goldman Sachs for FAs in California.  (Breaking Dunn’s own record).  Most recently he obtained a $7.6 million Award against Goldman Sachs in a FINRA arbitration in Los Angeles.

Dunn has won more than $2 billion in judgments and settlements for his clients.  He has represented more than 10 FAs in Barron’s national top 100 financial advisors.  Dunn has won million dollar jury verdicts or arbitration awards in California, Texas, Louisiana and Arkansas.

Online CLE Employment Arbitration

Tracey Salmon-SmithPartnerDrinker Biddle & Reath LLP

Tracey Salmon-Smith is a partner at Drinker Biddle & Reath LLP. She assists clients in commercial disputes, employment litigation, securities law, and internal investigations. In the securities space, Ms. Salmon-Smith represents broker-dealers before the Financial Industry Regulatory Authority (FINRA) in arbitrations and mediations related to allegations of fraud, misrepresentation and unsuitability. She also handles expungement proceedings. As an employment litigator, Tracey has defended corporate clients against claims related to age, race and gender discrimination, workplace sexual harassment, whistleblowers, and wrongful discharge. She also advises clients on e-discovery and information management issues.

Previously, Ms. Salmon-Smith served as Director and Associate General Counsel at UBS Financial Services Inc., and served seven years as an Assistant United States Attorney for the Eastern District of New York (EDNY). During her time as an assistant U.S. attorney, Tracey served as both the Acting Chief of Environmental Litigation and the Chief of Bankruptcy.

Online CLE Employment Arbitration

Course Level:

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   On-demand Webcast

   General knowledge of employment dispute arbitration and resolution

Course Code:

NY Category of CLE Credit:
   Areas of Professional Practice

Total Credit:
    1.0 CLE

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About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

We have extensive experience handling a variety of matters across the U.S. in the financial industry space.  Indeed, one of our partners, Josh Iacuone, is a licensed FINRA arbitrator.  We have taken on and defeated the big firms like Goldman Sachs, BBVA, and UBS.

We transition teams to new firms, handle TROs, fight off non-competes and non-solicits, ensure that the broker recruiting protocol is followed (for signatories), defend against promissory note enforcement, help financial advisors, Branch Managers  and financial executives with severance, regulatory issues, letters of education and FINRA investigations.  We have a track record of recovering FAs/RMs deferred compensation forfeited by former employers.  We assist FAs, Branch Managers and financial executives protect their reputations, handle expungements and the marking and filing of U-4s and U-5s.  We have represented more than a dozen of Barron’snational top 100 financial advisors.

Website: https://roggedunngroup.com/

Drinker Biddle & Reath LLP is a national, full-service law firm providing litigation, regulatory and business solutions to public and private corporations, multinational Fortune 100 companies and start-ups. Building on a rich 168-year history, our more than 635 lawyers across 12 offices uphold our firm’s reputation for outstanding legal results and bring a sophisticated, forward-thinking approach to every client engagement. We draw upon a wealth of experience to assist clients in the financial services industry - including broker-dealers, investment banks, private banks, commercial lenders, private equity firms and asset managers - in staying ahead of today’s ever-changing economic and regulatory environments. Our attorneys defend clients in litigations, arbitration, regulatory investigations and represent them in mediation. In addition, we guide clients in navigating the maze of state and federal compliance requirements.

Website: https://www.drinkerbiddle.com/

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