Broadcast Date: Wednesday, April 03, 2024
from 12:00 pm to 1:30 pm (ET)
Overview:
The financial landscape is continuously shaped by the evolving regulations imposed by the Financial Industry Regulatory Authority (FINRA). All disputes by or between member firms and associated persons are subject to arbitration before FINRA’s Dispute Resolution Program, though for certain statutory employment law claims, the parties can opt out of arbitration. FINRA’s arbitration presents a unique forum where the parties must abide by and navigate the relevant (Customer or Industry) Code of Arbitration Procedure, and practitioners must stay abreast of the latest developments to formulate effective arbitration strategies. Join our speakers in this CLE webcast as they delve into a comprehensive discussion on the process of selecting arbitrators, recent changes in the Code, and some things to consider when arbitrating an employment law claim.
Key Topics:
- FINRA Arbitrator Selection
- FINRA Rule Changes
- Arbitrating Employment Law Claims in FINRA
Credit:
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-Demand Webcast
Prerequisite:
General knowledge of FINRA arbitration
Course Code:
1410973
Total Credit:
CLE Credit:
MS CLE 1.00 General - Approved Until: 4/03/2025
GA CLE 1.50 General - Approved Until: 12/31/2024
WI CLE 1.50 General - Approved Until: 12/31/2025
TN CLE 1.50 General - Approved Until: 4/03/2025
CA CLE 1.50 General - Approved Until: 6/30/2025
PA CLE 1.50 General - Approved Until: 4/03/2026
VT CLE 1.50 General - Approved Until: 12/31/2025
NJ CLE 1.50 General - Credits through Reciprocity
NY CLE 1.50 Skills - Credits through Reciprocity
AR CLE 1.50 General - Credits through Reciprocity
CT CLE 1.50 General - Credits through Reciprocity
NH CLE 1.50 General – Meets the requirements of NH Supreme Court Rule 53
Self-Apply:
AL, CO, DE, FL, ID, IN, IO, KS, KY, LA, NC, ME, MN, MT, NE, NV, NM, ND, OH, OK, OR, SC, TX, UT, VA, WA, WV, WY
If you’d like us to apply for CLE, you may opt to pay the CLE processing fee here.
No MCLE Requirements:
DC, MD, MA, MI, SD
Not Eligible for CLE:
AK, AZ, HA, MO, IL
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:
Janell Ahnert, Shareholder
Littler Mendelson P.C.
Janell Ahnert’s practice encompasses all facets of employment law, specifically in representation of management in both employment counseling and employment litigation. She has experience with issues involving wage and hour claims, harassment, discrimination, and retaliation.
With licenses held in four states, Janell is able to serve her clients’ needs in various legal forums. She handles a variety of employment law matters in state and federal courts and has broad experience defending employers accused of harassment and discrimination in federal court, including first chair jury trial experience. She has also successfully defended management in many wage and hour cases under the Fair Labor Standard Act and obtained summary judgments on behalf of her clients.
In addition to a federal court practice, Janell has experience defending financial services clients in employment matters pending before FINRA. In this area, Janell represents broker-dealers and banks in FINRA arbitrations filed by employees across the country.
Debra A. Jenks, Esq., Partner
Debra A. Jenks, P.A.
Ms. Jenks has over 35 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She defends registered persons and entities in regulatory matters. She has represented retail and institutional investors in securities matters and arbitration.
Margaret Watson, Shareholder
Littler Mendelson P.C.
Margaret L. Watson has more than 30 years of experience in employment litigation, internal investigations and alternative dispute resolution. She has litigated numerous cases in federal and state courts as well as in arbitrations (FINRA, AAA, JAMS) and agency proceedings. She regularly defends employers and individual managers in cases involving discrimination and retaliation claims under Title VII, Section 1981, ADA, ADEA, FLSA, FMLA, Dodd-Frank Act and related New York State and City laws, as well as common law tort and contract claims, including U-5 defamation claims and the enforcement of restrictive covenants. For approximately ten years, Margaret was employed by a large national wealth management financial services company, where she served as litigation counsel and also helped to design and manage the first corporate ombudsman office for the broker-dealer business of that company. Margaret is a graduate of Harvard Law School, and she began her career as a law clerk to the Hon. Whitman Knapp in the U.S. District Court for the Southern District of New York.
Agenda:
Segment 1:
Janell Ahnert, Shareholder
Littler Mendelson P.C.
- Tips for selecting a panel of FINRA Arbitrators
- Understand the process used to strike a panel, challenges for cause
- Identify arbitrator qualifications, experience and training desired
- Issues to consider before agreeing to arbitrate statutory employment claims in FINRA arbitration
- Predict potential circumstances when FINRA arbitration makes sense for statutory employment claims
- Identify circumstances when you should object to FINRA arbitration
Segment 2:
Debra A. Jenks, Esq., Partner
Debra A. Jenks, P.A.
- FINRA Arbitrator Rankings Process and Rule Changes post Lowenstein Sandler report effective March 4, 2024
- FINRA Expungement Cases effective October 16, 2023
- FINRA Amendments to the Arbitration Codes to Make Various Clarifying and Technical Changes effective March 4, 2024
Segment 3:
Margaret Watson, Shareholder
Littler Mendelson P.C.
- FINRA’s Special Rules for Statutory Employment Law Claims
- In or Out: What Forum is Best for Discrimination and Retaliation Claims
- What You Need to Know if You Have An All Public Panel Decide a Statutory Claim
Date & Time:
Wednesday, April 03, 2024
12:00 pm to 1:30 pm (ET)
Who Should Attend:
- Banking & Finance Lawyers
- Securities Law Attorneys
- Alternative Dispute Resolution Attorneys
- Regulatory Attorneys
- Financial Advisors
- Compliance Officers
- General/In-house Counsel
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