FINRA Arbitration: Advice From The Experts

CLE Programs
Program Catalog
FINRA Arbitration: Advice From The Experts

This program will introduce practitioners and neutrals to the FINRA Dispute Resolution Forum, focusing on arbitration. The experienced faculty will introduce attendees to the FINRA arbitration and mediation process. The panel topics include an overview of the arbitration process, a look at common claims and defenses, a discussion of important documents, and the roles of neutrals within the forum. The program will be geared towards attorneys new to securities arbitration, as well as arbitrators and mediators interested in joining the FINRA rosters or new to the FINRA rosters.

Start Date:

June 15, 2021

Start Time:

1:00 PM

End Time:

5:30 PM

Areas Of Professional Practice Credit(s):

Skills Credit(s):

Total Credit(s):

Region:

Virtual Participation

Agenda

1:00pm – 1:05pm: Welcome and Introduction

1:05pm – 1:55pm: Lifecycle of a FINRA Arbitration Claim

This panel will discuss the various steps of the FINRA arbitration process and discuss preparation for each stage of the claim, from filing to hearing.

1.0 Credit in Skills

1:55pm – 2:45pm: Common Claims

This panel will provide an overview of common claims raised in FINRA Arbitration claims brought by investors.

1.0 Credit in Professional Practice

2:45pm – 3:35pm: Common Defenses

This panel will provide an overview of defenses frequently raised in response to the common claims brought by customers against their broker and brokerage firm.

1.0 Credit in Professional Practice

3:35pm – 3:50pm: Break

3:50pm – 4:40pm: Important Documents and the FINRA Discovery Guide

This panel will discuss the important documents that are relevant to FINRA arbitrations. Starting with the FINRA Discovery Guide, the panel will cover which Claimant documents are important during the vetting and drafting stage of the case, and which Respondent documents are important when preparing for settlement discussions or hearings.

1.0 Credit in Professional Practice

4:40pm – 5:30pm: The Role of Neutrals

This panel will explain the process for becoming a FINRA arbitrator and mediator. The neutrals on the panel will discuss their training and roles during FINRA arbitrations and mediations.

1.0 Credit in Skills

5:30pm – 6:00pm: Networking Break

Program Faculty