Securities Arbitration & Mediation: A 2016 Update
Arbitration and mediation are two different alternatives to resolve disputes. Throughout the year, the increasingly complex environment of arbitration and mediation in the securities industry has brought fundamental developments and numerous rule changes that greatly affected the worldwide financial marketplaces.
In a two-hour LIVE Webcast, a panel of thought leaders and professionals assembled by The Knowledge Group will offer the audience with an in-depth discussion of the fundamentals as well as updates with respect to Securities Arbitration and Mediation trends and developments. Going beyond the basic mechanics, the speakers will present their thoughts and opinions on securities arbitration and mediation.
Key topics include:
- Securities Arbitration and Mediation - An Overview
- Common Risks and Legal Challenges
- The Protocol and emergency relief
- Recent Developments in Mediation and Arbitration
- Updates in Law, Ruling and Sanctions
- Up-to-the-minute Regulatory Developments
James R. Miller, Shareholder
Paul R. Wood, Shareholder
- RIAs and arbitration: AAA or FINRA
- DOL fiduciary rules impact on how retirement accounts are handled
- Recruitment arbitration and injunctive relief under the protocol
Matthew N. Thibaut, Partner
Ciklin Lubitz & O'Connell
- Impact of an advisor’s recommendation to “hold;” although the rule went into effect in 2012, what’s the potential impact in a volatile market (i.e. since summer 2015).
- Industry efforts to promote the identification and prevention of elder abuse.
- Crowdfunding – it’s now here. How are the regulators addressing it?
- Crowdfunding the potential for more elder abuse!
Daniel P. Dietrich, Partner
Burr & Forman LLP
- FINRA Areas of Focus and Examination Priorities
- arbitration vs. litigation strategies, including FINRA's grounds for dismissal
- arbitrator selection process
- FINRA's 6 year gatekeeper rule
Paula D. Shaffner, Co-Chair, Securities Litigation & Enforcement
Stradley Ronon Stevens & Young, LLP
- UP to Date FINRA statistics
- Rule Changes
- Amend the Arbitrator Definitions (SR-FINRA-2014-028)
- Increase Arbitration Hearing Cancellation Fees (SR-FINRA-2015-003)
- Proposed Rule Changes
- Award offsets
- Expanded expungement guidelines
- FINRA Arbitration Task Force Recommendations
- i.e. explained awards, automatic mediation process subject to opt-out, financial incentives for successful mediations, increased training, continuing education and mentoring for mediators, and increased diversity among mediators, etc.
- Recent Case Law, Statistics and Trends
Who Should Attend:
- Arbitration Lawyers
- Securities Lawyers
- Directors of Mediation and Strategy
- In-house Counsel
- Other related/interested Professionals and Organizations
Jim Miller is a Fellow of Litigation Counsel of America. In his 41 years of practice, Jim has developed a deep knowledge of the securities industry, banks and financial institutions, energy companies, and technology-based businesses. This deep industry knowledge allows Jim to hit the ground running and formulate industry-specific strategies, which put clients in the driver’s seat in complex litigation or negotiations. Jim has extensive experience as lead counsel in both trial and appellate litigation in state and federal courts. He is considered a “go to” lawyer concerning the trial of complex cases to juries. He has extensive litigation, arbitration, and mediation experience in securities industry disputes, including customer, industry, and employment disputes. Jim represents broker dealers and registered investment advisors in regulatory and administrative proceedings before the Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), New York Stock Exchange, and state regulatory agencies.
Jim Miller is a Fellow of Litigation Counsel of America. In his 41 years of practice, Jim has developed a …
Paul Wood has tried more than 50 cases in federal and state courts and before arbitration panels in 17 states. He thrives on securing positive results for his clients and, over the course of his more than 30 years of practice, clients have come to expect these satisfying outcomes.
He has represented securities broker/dealers and other financial services firms before FINRA and in court on a wide range of claims, including customer complaints, fraud, raiding and recruitment, and protocol for broker recruiting compliance. His deep knowledge of the financial services industry allows him to understand the clients’ business and formulate proactive litigation strategies which fit into their overall business goals, rather than simply react to the facts of a particular case. He has litigated cases arising from post-merger or acquisition disputes involving valuation and accounting issues for public and private companies, and has extensive trial experience in a broad range of complex commercial cases.
Paul Wood has tried more than 50 cases in federal and state courts and before arbitration panels in 17 states. …
Paula Shaffner is widely recognized as a fierce advocate for clients in the financial services industry. For almost 30 years, Paula has represented individuals and companies in securities litigation, and defended clients in regulatory matters before the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Agency (FINRA) and various exchanges and state regulators. She also represents clients in litigation filed in court or arbitration. Paula conducts internal investigations and provides compliance counseling. Her clients include public companies, mutual funds, hedge funds, investment companies and advisers, broker dealers and individuals associated with those entities.
Paula Shaffner is widely recognized as a fierce advocate for clients in the financial services industry. For almost 30 years, …
Dan is a partner at Burr & Forman LLP in Tampa, Florida, where he practices in the firm’s litigation department and concentrates his practice in the areas of complex business and commercial litigation, intellectual property litigation, securities litigation and arbitration. He graduated with a degree in business administration from the University of Florida and an M.B.A. from the University of Miami. Prior to obtaining his law degree, he was a registered representative holding both his Series 7 and 63 licenses, and later worked in the research department at nationally-known broker dealer.
He received his JD degree from St. John’s University School of Law, and practiced at a Manhattan law firm before moving to Tampa. He is a Martindale-Hubbell™ AV Preeminent Rated Lawyer, and has been recognized as a Rising Star in Florida Super Lawyers. He is active in the local and national bar associations, the local Chamber of Commerce and is also an attorney ad litem.
Dan is a partner at Burr & Forman LLP in Tampa, Florida, where he practices in the firm’s litigation department …
Matthew Thibaut is a native Floridian who practices in the firm’s securities/investment litigation and employment law practice groups. Mr. Thibaut’s securities practice experience includes common law and statutory claims in connection with investments in equities, bonds, mutual funds, hedge funds, managed money, alternative investments, and structured products.
Mr. Thibaut’s securities practice regularly includes representation of national and local brokerage firms, individual financial professional, registered investment advisors and investors in state and federal court matters, as well as in litigation and regulatory matters before the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and other self-regulatory organizations.
Matthew Thibaut is a native Floridian who practices in the firm’s securities/investment litigation and employment law practice groups. Mr. Thibaut’s …
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Polsinelli is an Am Law 100 firm with more than 750 attorneys in 18 offices, serving corporations, institutions, entrepreneurs and individuals nationally. Ranked in the top five percent of law firms for client service and top five percent of firms for innovating new and valuable services*, the firm has risen more than 100 spots in Am Law’s annual firm ranking over the past six years. Polsinelli attorneys provide practical legal counsel infused with business insight, and focus on healthcare, financial services, real estate, life sciences and technology, and business litigation. Polsinelli attorneys have depth of experience in 100 service areas and 70 industries. The firm can be found online at www.polsinelli.com. Polsinelli PC. In California, Polsinelli LLP.
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About Stradley Ronon Stevens & Young, LLP
Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With seven offices throughout the mid-Atlantic region, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.
About Burr & Forman LLP
Burr & Forman LLP was established more than a century ago, and has offices throughout the Southeast. The firm’s nearly 300 attorneys offer a long list of services including business law, creditors’ rights and bankruptcy, tax planning, litigation and real estate to a diverse group of clients with local, national and international interests. The firm is included in the Best Law Firms list published by U.S. News & World Report in conjunction with Best Lawyers, the oldest and most respected peer- review publication in the legal profession. The firm is also included in Chambers USA receiving rankings in over 10 practice areas with 40 attorneys being named "Leaders in Their Field." Burr & Forman is also listed on the national “BTI Client Service A-Team 2015,” a survey based on client rankings of law firms that deliver superior client service; was named a “Top Ranked Law Firm” by Martindale-Hubbell; and was recognized as a “Go-To Law Firm” for litigation, financial services companies, technology companies and top 500 companies by American Lawyer Media. The firm has also been selected in Fortune Magazine’s list of “Go-To Law Firms of the World’s Leading Companies.”
About Ciklin Lubitz & O'Connell
Founded in Palm Beach County in 1985, Ciklin Lubitz & O’Connell is celebrating 30 years of legal service to local, statewide and Fortune 100 clients. The firm is AV Peer Review Rated by Martindale-Hubbell, and seven of the firm’s partners are Board Certified by The Florida Bar in their primary area of practice.
Ciklin Lubitz & O’Connell believes in establishing long term partnerships with clients by striving to prevent legal problems before they occur, negotiate solutions wherever possible, create reliable budgets, and provide early case evaluations so clients can make informed decisions.
Building on this underlying philosophy, Ciklin Lubitz & O’Connell draws on the combined strengths of its professionals to provide a balanced approach to solving legal problems in the areas of business law, tax, real estate, construction law, estate planning, probate, commercial litigation, securities litigation, employment law, family law, appeals, land use, and zoning. Details at https://ciklinlubitz.com