Broadcast Date: Thursday, December 09, 2021
from 12:00 pm to 1:30 pm (ET)
Overview:
The FINRA arbitration and enforcement landscape has been continuously reshaped with rule changes as well as complications due to Covid-19 restrictions and the resulting change to remote work. Thus, all affected professionals must keep themselves abreast of the emerging updates in this space.
In this LIVE CLE Webcast, a panel of thought leaders and professionals brought together by The Knowledge Group will provide a review of FINRA Arbitration and Enforcement in 2021 and discuss what lies ahead for 2022. Speakers will discuss the challenges and changes in this space due to recent events and regulatory developments.
Some of the major topics that will be covered in this course are:
- FINRA Arbitration Statistics
- Covid-19 Implications to FINRA Arbitrations
- Areas of Regulatory Focus
- What Lies Ahead
Credit:
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
Prerequisite:
General knowledge of financial regulations
Course Code:
149062
NY Category of CLE Credit:
Areas of Professional Practice
Total Credits:
1.5 CLE
1.5 CPE (Not eligible for QAS (On-demand) CPE credits)
How to Claim CLE Credits Per State:
https://knowledgewebcasts.com/how-to-claim-cle-credits-per-state/
CLE State Requirements:
https://knowledgewebcasts.com/cle-state-requirements/
CPE State Requirements:
Speaker Panel:
Debra A. Jenks, Esq., Partner
Jenks & Harvey LLP
A native Floridian, Debra has over 35 years of legal experience representing financial institutions, wirehouses, insurance companies and investment professionals, as well as insured broker-dealers, officers and directors, and financial advisers in retail, industry and employment disputes as well as in regulatory matters. Debra has handled claims exceeding hundreds of millions of dollars in court and in arbitrations filed with the NYSE, AAA, NASD and FINRA. She also represents registered persons, institutions and individual investors.
Heather B. Middleton, Counsel
Riker Danzig Scherer Hyland & Perretti LLP
Heather B. Middleton is Counsel in the Securities Litigation, Arbitration, Regulation and Investigations Practice of Riker Danzig Scherer Hyland & Perretti LLP. With extensive experience representing broker-dealers and financial advisers in FINRA arbitrations as well as in state and federal court matters, Heather focuses her practice on defending financial services firms and their employees in securities litigation, regulatory investigations, and in enforcement proceedings. She has successfully defended investor and employment claims relating to a broad range of issues, and has handled regulatory matters involving complex issues including order handling, mini flash crash, research practices, electronic blue sheet reporting, insider trading, and more. Additionally, Heather serves her clients in an advisory role in assisting with drafting compliance policies and procedures and in helping firms comply with regulatory requirements. She also performs due diligence on behalf of Authorized Participants and lead market-makers providing seed capital for the launch of new exchange traded funds. Before practicing law, Heather was an analyst on a High Net Worth Team in the Private Banking and Investment Group of Merrill Lynch, where she dealt with securities laws, branch operations, portfolio management, trading, securities regulations and client expectations.
Peter J. Tepley, Partner
RumbergerKirk
Peter Tepley focuses his practice on commercial litigation. He represents securities broker dealers, including clearing brokers, and their registered representatives in customer, employment, and industry disputes in FINRA arbitrations as well as in 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. Peter defends businesses and individual officers and directors in class actions, including securities class actions. In addition, he represents fiduciaries and other parties in will contest and breach of fiduciary duty cases.
Agenda:
Peter J. Tepley, Partner
RumbergerKirk
Heather B. Middleton, Counsel
Riker Danzig Scherer Hyland & Perretti LLP
and
Debra A. Jenks, Esq., Partner
Jenks & Harvey LLP
- FINRA Arbitration
- A Year in Review
- Case filings and arbitration statistics
- Arbitrations via Zoom (incorporating FINRA’s vaccine mandate)
- Expungement – status of new rules and what they are
- What Lies Ahead
- Zoom arbitration is here to stay; Will we see an uptick in motions to vacate due to Zoom arbitration and inattentiveness of Panels?
- Proposed model rules to combat unpaid FINRA arbitration awards (NASAA recent proposal and new PIABA report)(can insurance fix the problem be incorporated here?
- How Reg. BI may come into play in customer arbitrations going forward
- FINRA Enforcement
- A Year in Review
- Electronic communications – potential future new forms of communications
- Focus on OBAs and supervision of remote work (business continuity and cybersecurity)
- Reg BI and form CRS
- What Lies Ahead?
- Potential regulatory issues regarding Reg. BI compliance, and problem brokers and firms
- Continuation of remote FINRA exams and movement to RIAs and away from FINRA’s reach
- SEC plans to bring back the practice of requiring wrongdoers to admit (no more “neither admit nor deny”) and FINRA is targeting firms’ social media activity (FINRA will review how firms acquire customers through social media, as well as how firms manage their compliance obligations “related to information collected from those customers and other individuals that may provide data to firms.” Social media influencers are an extension of the firm)
- A Year in Review
- A Year in Review
Date & Time:
Thursday, December 09, 2021
12:00 pm to 1:30 pm (ET)
Who Should Attend:
- In-house Counsel
- Compliance Officers and Employees of Broker-Dealers
- Practitioners in the Space
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