Employment Dispute Arbitration at FINRA: Demystifying Litigation Challenges
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
Rogge Dunn Group, PC
- Wrongful Discharge cases – arbitrating them
- Deferred compensation
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
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.
Rogge Dunn is a trial attorney and counselor for Fortune 500 companies, wirehouses and prominent Financial Advisors, executives and entrepreneurs. Dunn has …
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.
Tracey Salmon-Smith is a partner at Drinker Biddle & Reath LLP. She assists clients in commercial disputes, employment litigation, securities …
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Method Of Presentation:
General knowledge of employment dispute arbitration and resolution
NY Category of CLE Credit:
Areas of Professional Practice
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