An Employee’s Perils: Securities Arbitration In A Regulated World

This session, presented by the Securities Arbitration Committee of the Commercial and Federal Litigation Section free of charge, will explore the many issues involved in representing licensed and registered persons in the brokerage and investment advisory spaces in customer and employment arbitrations at FINRA and the American Arbitration Association. This will include discussions on potential regulatory (civil and criminal) implications, U4/U5 implications and future employment implications.  We will discuss FINRA and SEC rules, as well as current regulatory trends impacting employed persons in arbitration.

Speakers:
Pearl Zuchlewski, Partner at Kraus & Zuchlewski LLP

Kirsten Patzer, Partner at Freeman Mathis & Gary, LLP