FINRA Arbitration Hot Topics for 2020: Updates You Should Know
Over the years, the Financial Industry Regulatory Authority, Inc. (FINRA) has published notices to provide firms with up to date information on different scales of arbitration issues. Latest rule proposals and potentials are continually being addressed including FINRA's efforts to gain diversity in their arbitrary pool and how to handle complex and costly aspects of arbitration.
In this LIVE Webcast, a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will provide and present to the audience an in-depth analysis of the fundamentals as well as recent developments in FINRA Arbitration. Speakers will also address all important issues surrounding this significant topic including the variety of updates, changes, and recent trends. Best practices to cope with these arbitration trends will also be discussed.
This LIVE Webcast will discuss the following key topics:
- FINRA Arbitration – Trends and Updates
- Published Notices
- New Rules and Proposed Rule Changes
- Best Practices
- What Lies Ahead
Robert J. Harvey, Attorney
Jenks & Harvey LLP
- Overview of the other speakers’ topics and will address each in general terms
- 2020 Focus on Associated Persons with Regulatory History: Hiring Practices and Supervision
- Regulatory Notice 19-17: Protecting Investors from Misconduct
- Proposed FINRA Rule 4111-Restricted Firm Obligations
Peter Tepley, Partner
- Increased claims for well managed account damages and other alternative damages theories.
- How Reg. BI may come into play in customer disputes.
- Motions to dismiss under Rule 12206 for lack of eligibility for FINRA arbitration.
- Continued claims and requests for expungement.
Joe Wojciechowski, Esq., Managing Partner
Stoltmann Law Offices
- Surging win rate for claimants in 2019
- Investment scam trends to look for in 2020
- Introduction of new discovery guide potentially in 2020 including insurance coverage disclosures
- Expungement issues never end
- Unpaid arbitration award fund
- Reg BI compliance guidelines and how they affect supervision cases
Rogge Dunn, Partner
Rogge Dunn Group, PC
- Risk management techniques for firms and FAs to stay out of trouble in 2020
- New compliance risks for FAs and firms
- Resources available to educate yourself and avoid compliance issues
- Recent advice and pronouncements from FINRA
Who Should Attend:
- Arbitration Lawyers
- In-house Counsel
Robert concentrates his practice in securities litigation, arbitration and regulation. He has represented major brokerage firms and financial institutions, directors, officers, and financial advisors, in complex litigation in both state and federal courts, and FINRA arbitration.
Robert also defends financial institutions and individuals in regulatory proceedings before the SEC, FINRA, and state regulatory authorities. Additionally, Robert represents individual and institutional investors who have suffered monetary losses as the result of securities fraud. Robert began his career with the United States Navy, where he served on active duty from 1986-1990 as a Navy Judge Advocate and Special Assistant U.S. Attorney. After leaving active duty, he entered private practice in Chicago, Illinois, specializing in the areas personal injury defense and insurance coverage.
Robert concentrates his practice in securities litigation, arbitration and regulation. He has represented major brokerage firms and financial institutions, directors, …
Peter Tepley is a partner in the Birmingham office of RumbergerKirk. 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.
Peter Tepley is a partner in the Birmingham office of RumbergerKirk. Tepley frequently represents securities broker dealers, including clearing brokers, …
Joe have been a licensed attorney since November 2009 and been with Stoltmann Law Offices since March 2005. Prior to Stoltmann Law Offices, he had a short stint as a paralegal with a Chicago securities defense firm. He is currently managing partner at Stoltmann Law Offices and responsible for the day to day operations of the firm, docket, and case management. Personally, he handle all aspects of case management from potential client/case intake to trying the case. He have represented investors in at least 500 FINRA arbitrations, dozens of AAA or JAMS arbitrations, and in numerous investor class actions and other investor related litigation.
Joe have been a licensed attorney since November 2009 and been with Stoltmann Law Offices since March 2005. Prior to …
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 …
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Method of Presentation:
General knowledge of financial industry regulation
NY Category of CLE Credit:
Areas of Professional Practice
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About Jenks & Harvey LLP
Jenks & Harvey LLP is an international securities litigation and arbitration law firm, with a rare and invaluable grasp of strategic commercial issues. We combine exceptional legal expertise with deep industry knowledge and refreshingly creative thinking to help clients achieve their commercial goals.
For more information about Jenks & Harvey LLP and its practice areas please visit our website at www.jenksharveylaw.com.
RumbergerKirk 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.
About Stoltmann Law Offices
Since its inception in March 2005, Stoltmann Law Offices, P.C. has dedicated its practice to representing investors in lawsuits and arbitration claims against brokers, financial advisors, investment advisors, and the companies they work for. Our Chicago investment fraud attorneys offer their clients a combined 35 years of experience fighting for investor rights from offices in Chicago, Illinois and suburban Barrington, and Downers Grove, Illinois. We have represented investors in FINRA arbitration claims and investment lawsuits from every state and territory, in addition to representing investors from several countries. The attorneys at Stoltmann Law Offices have dedicated their life’s work to representing investors who have been cheated or defrauded by those professionals they trusted with their hard-earned money and retirement savings.
About Rogge Dunn Group, PC
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.