HomeWebcastFINRA Arbitration and Enforcement: Current Issues in 2018 and Beyond
Online CLE FINRA Arbitration CLE

FINRA Arbitration and Enforcement: Current Issues in 2018 and Beyond

Live Webcast Date: Thursday, April 05, 2018 from 3:00 pm to 4:30 pm (ET)
Risk and Compliance CLE & CPERecording

Online CLE FINRA Arbitration

Join us for this Knowledge Group Online CLE FINRA Arbitration Webinar. FINRA Rules and the arbitration landscape are constantly changing. FINRA members and practitioners must stay sensitive to the issues and new developments to reduce the chances of surprise awards and enforcement actions.

In a Webcast, a panel of thought leaders and practitioners assembled by The Knowledge Group will discuss latest and significant issues and developments in FINRA arbitration, as well as current regulatory focus. The speakers will also provide considerations on arbitrator selection, tips for controlling costs in discovery and expert engagement, and discuss compliance issues.

Key topics include:  

  • The FINRA Arbitration Process including rule changes, arbitrator selection and expungement
  • Best Practices for Counsel
  • Current regulatory focus on:
    • Commission and fee-based accounts
    • Suitability and fiduciary duty
    • Issues surrounding the elderly and retirement savers
    • Supervision of industry participants with disciplinary disclosures
    • Churning
    • Cybersecurity and duty to protect customer information

Agenda

Debra A. JenksAttorney
Jenks & Harvey LLP

  • FINRA Customer Code Rules under review and potential Rule changes
  • Arbitrator Selection
  • Best Practices for Counsel appearing before FINRA Arbitrators
  • Making a record due to finality of FINRA Arbitration Awards.

Pete TepleyPartner
Rumberger Kirk & Caldwell

  • The FINRA Arbitration Process
  • Commission and fee-based accounts and reverse churning
  • Suitability and fiduciary duty
  • Supervision of industry participants with disciplinary disclosures

Heather B. MiddletonPartner
Murphy & McGonigle

  • FINRA’s move to toughen expungement rules
  • Unpaid arbitration awards
  • Dealing with the elderly
  • Cybersecurity

Who Should Attend

  • Financial Crime Attorneys & Consultants
  • Finance Lawyers
  • Corporate Governance Attorneys
  • Banking & Finance Attorneys
  • Investment Attorneys
  • M&A Attorneys
  • Securities Attorneys
  • Financial Executives & Officers
  • Bank and Financial Executives
  • Legal and Compliance Executives
  • Broker-dealer Firms
  • Other related & Interested Professionals

Online CLE FINRA Arbitration

Debra A. JenksAttorney
Jenks & Harvey LLP

  • FINRA Customer Code Rules under review and potential Rule changes
  • Arbitrator Selection
  • Best Practices for Counsel appearing before FINRA Arbitrators
  • Making a record due to finality of FINRA Arbitration Awards.

Pete TepleyPartner
Rumberger Kirk & Caldwell

  • The FINRA Arbitration Process
  • Commission and fee-based accounts and reverse churning
  • Suitability and fiduciary duty
  • Supervision of industry participants with disciplinary disclosures

Heather B. MiddletonPartner
Murphy & McGonigle

  • FINRA’s move to toughen expungement rules
  • Unpaid arbitration awards
  • Dealing with the elderly
  • Cybersecurity

Online CLE FINRA Arbitration

Online CLE FINRA Arbitration

Pete TepleyPartnerRumberger Kirk & Caldwell

Peter Tepley is a partner in the Birmingham office of Rumberger, Kirk and Caldwell. Tepley frequently represents securities broker dealers, including clearing brokers, and their registered representatives in customer, employment, and industry disputes in FINRA arbitrations as well as state and federal courts. He also represents public and private companies and their officers and directors in a variety of complex business disputes, including business torts and breach of contract cases. He defends businesses and individual officers and directors in class actions, including securities class actions.

Online CLE FINRA Arbitration

Heather B. MiddletonPartnerMurphy & McGonigle

Heather Middleton focuses her practice on defending Wall Street brokerage firms and their employees in FINRA arbitrations, civil court matters, regulatory inquiries and government investigations.  Recent cases have included disputes between firms and their employees, customer complaints, trading desk and market access violations, research department issues and a broad range of related sales practice issues.  Prior to practicing law, Ms. Middleton worked at Merrill Lynch for more than 10 years where she gained invaluable experience with trading, portfolio management, various investment vehicles, branch operations and securities regulations.  Heather is admitted to practice in New York and New Jersey.  She handles community service and charitable giving efforts in Murphy & McGonigle’s New York office.

Online CLE FINRA Arbitration

Debra A. JenksPartnerJenks & Harvey LLP

Ms. Jenks has over 30 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She defends registered persons and entities in regulatory matters. She has represented retail and institutional investors in securities matters and arbitration.


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Online CLE FINRA Arbitration

Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   On-demand Webcast

Prerequisite:
   Experience in FINRA Arbitration

Course Code:
   147099

NY Category of CLE Credit:
   Skills

Total Credits:
    1.5 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.

Rumberger, Kirk & Caldwell provides litigation and counseling services in a wide range of civil practice areas including product liability, commercial litigation, construction, real estate, intellectual property litigation, securities litigation, financial services litigation, labor and employment law, bankruptcy, insurance coverage, professional liability and administrative law. Offices are located in Orlando, Tampa, Miami, Tallahassee and Birmingham. 

Website: http://www.rumberger.com/

Murphy & McGonigle, founded in 2010, was created based on an innovative law firm model that rigorously controls overhead while providing its attorneys and clients with state-of-the-art technology and litigation support to ensure both world-class service and maximum cost-efficiency.  In the years since the financial crisis, that model has become increasingly attractive for clients in the financial services industry which has driven the rapid growth of the law firm.

For the fifth year in a row, U.S. News & Best Lawyers selected Murphy & McGonigle as a National Tier One Law Firm. This year, we were honored in Securities Regulation, Litigation – Securities, and Corporate Law. Only 25 firms received National Tier One recognition in all three areas with Murphy & McGonigle as the youngest and smallest firm among those 25 listed, by far.

Murphy & McGonigle serves the litigation, enforcement defense, and regulatory counseling needs of clients across the full spectrum of the financial services industry – from national banks, broker-dealers, investment advisers, and hedge funds, to national and international securities markets and exchanges. 

Website: http://www.mmlawus.com/

Jenks & Harvey LLP is involved in various aspects of securities arbitration and litigation, broker-dealer compliance, regulatory and enforcement defense, registration matters, and representation of registered persons in retail and employment matters.

Website: http://jenksharveylaw.com/

Peter Tepley is a partner in the Birmingham office of Rumberger, Kirk and Caldwell. Tepley frequently represents securities broker dealers, including clearing brokers, and their registered representatives in customer, employment, and industry disputes in FINRA arbitrations as well as state and federal courts. He also represents public and private companies and their officers and directors in a variety of complex business disputes, including business torts and breach of contract cases. He defends businesses and individual officers and directors in class actions, including securities class actions.

Heather Middleton focuses her practice on defending Wall Street brokerage firms and their employees in FINRA arbitrations, civil court matters, regulatory inquiries and government investigations.  Recent cases have included disputes between firms and their employees, customer complaints, trading desk and market access violations, research department issues and a broad range of related sales practice issues.  Prior to practicing law, Ms. Middleton worked at Merrill Lynch for more than 10 years where she gained invaluable experience with trading, portfolio management, various investment vehicles, branch operations and securities regulations.  Heather is admitted to practice in New York and New Jersey.  She handles community service and charitable giving efforts in Murphy & McGonigle’s New York office.

Ms. Jenks has over 30 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She defends registered persons and entities in regulatory matters. She has represented retail and institutional investors in securities matters and arbitration.

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