FINRA Arbitration and Enforcement: Current Issues in 2018 and Beyond
Overview:
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 LIVE 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. Jenks, Attorney
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 Tepley, Partner
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. Middleton, Partner
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
Peter Tepley is a partner in the Birmingham office of Rumberger, Kirk and Caldwell. Tepley frequently represents securities broker dealers, …
Heather Middleton focuses her practice on defending Wall Street brokerage firms and their employees in FINRA arbitrations, civil court matters, …
Ms. Jenks has over 30 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers …
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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SPEAKERS' FIRMS:
About Rumberger Kirk & Caldwell
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/
About Murphy & McGonigle
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/
About Jenks & Harvey LLP
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/
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