Recent Developments in the FINRA Codes of Arbitration Procedure: What You Need to Know
Lawyers and businesses arbitrating before the Financial Industry Regulatory Authority (FINRA) should be aware of key developments that tighten and streamline the process. The Securities and Exchange Commission (SEC) rule changes put strictures on who may be a public arbitrator, as well as on adjournments of arbitration hearings and referrals to FINRA enforcement. In addition, FINRA has issued rules on redaction of confidential information and published guidance on obtaining expungement of complaints.
In a one-hour LIVE Webcast, a panel of thought leaders and practitioners assembled by The Knowledge Group will discuss how these changes impact parties engaged in or contemplating FINRA arbitration.
Key topics include:
- FINRA Codes of Arbitration – An Overview
- Scope and Limitations
- Dispute Resolution
- Expungement Guidance – An Update
- Enforcement Actions
Rogge Dunn, Partner
Clouse Dunn LLP
Henry I. Willett III, Partner
Christian & Barton LLP
- Description of the new rules/procedures
- The purpose of the new rules
- Do the rules favor clients, firms or FAs
- How the new rules effect strategy for firms and FAs
- PREVENTION and risk management:
- Best practices and other strategies’ to prevent FAs and Firms from having FINRA arbitrations filed against them
- Strategy and tactics to win a FINRA arbitration in light of the new rules
- Understanding the recent modifications to the FINRA Code of Arbitration Procedure and how you and your clients can benefit from these changes.
- Changes in the arbitrator selection process--picking your judge and jury. Don’t let this opportunity pass you by.
- Clarifications provided in determining public versus non-public arbitrators. What should you be looking for?
- Increasing the pool of potential Chairpersons and what this could mean for your case.
- Familiarizing yourself with the DR Portal—preparing yourself and your clients for the age of electronic filing.
Who Should Attend:
- Attorneys and Consultants for Financial Companies
- Attorneys whose practice areas include Finance
- Finance Lawyers
- Financial Advisers
- Senior Financial Professionals
- Investment Advisers
- Investment Bankers
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 top 100 financial advisors nationwide. 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. …
Henry Willett is a partner in Christian & Barton’s Litigation department. Mr. Willett represents clients in matters involving the enforcement of non-compete and non-solicitation agreements, regulatory enforcement actions, financial services disputes, business torts, intellectual property disputes, trade secret and cooperate embezzlement claims, and professional malpractice claims. He has tried cases and arbitrated matters in state and federal courts throughout the United States and before FINRA Dispute Resolution, the National Association of Securities Dealers, the New York Stock Exchange and the American Arbitration Association.
Mr. Willett is the Chair of the Virginia State Bar’s Bench-Bar Relations Committee, Chair-Elect of the Civil Litigation Section of the Richmond Bar Association and is a member of the firm’s Recruiting Committee. Mr. Willett has presented numerous CLE seminars on various litigation and e-discovery topics.
Henry Willett is a partner in Christian & Barton’s Litigation department. Mr. Willett represents clients in matters involving the enforcement …
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Method of Presentation:
NASBA Field of Study:
Business Law - Technical
NY Category of CLE Credit:
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About Clouse Dunn LLP
Clouse Dunn LLP was formed by experienced Dallas trial lawyers as an employment law and commercial litigation boutique. Founding partners Keith Clouse and Rogge Dunn have tried cases in state and federal courts in Texas and throughout the United States. In forming Clouse Dunn, they assembled a team of lawyers that offer clients the best of both worlds: big firm legal talent with small firm flexibility and innovation.
About Christian & Barton LLP
Christian & Barton, L.L.P., maintains a broad-based civil practice, serving clients throughout the United States. Our offices are located in Richmond, the capital of Virginia. Our clients range from Fortune 500 companies to closely-held businesses, and include governmental entities, nonprofit organizations and individuals. Many firm clients are entrepreneurs engaged in high technology businesses, financial services, real estate ventures and expanding professional groups. Others engage in communications, health care, insurance and transportation.
One of Virginia's foremost firms, Christian & Barton traces its origins to 1926, when Andrew Christian and Robert Barton established a law practice to provide legal services at competitive rates while maintaining the highest professional standards. We strive to maintain these traditions while evolving to meet the needs of our clients.