Broadcast Date: Wednesday, May 17, 2023
from 12:00 pm to 1:00 pm (ET)
Overview:
Following the controversial ruling by Georgia State Court on the Wells Fargo arbitration award in 2022, the Financial Industry Regulatory Authority (FINRA) is now pushing for a more transparent arbitrator selection procedure. FINRA’s new proposed rule change with the Securities and Exchange Commission (SEC) is aimed at improving the prevailing practices in the arbitration and resolution forum. While the FINRA arbitration landscape remains uncertain until the approved rule changes, practitioners must keep themselves abreast of any developments to mitigate potential drawbacks.
In this LIVE CLE Webcast, securities lawyer Heather B. Middleton (Riker Danzig LLP) and commercial litigator Peter J. Tepley (Rumberger Kirk) will discuss the significant updates and key issues surrounding FINRA arbitration. The distinguished speakers will also share practical tips to prepare you for a FINRA arbitration case.
Key topics that will be covered in this discussion are:
- The current status of FINRA arbitration;
- FINRA Arbitration statistics
- The end of COVID-19 procedures
- Zoom is here to stay
- Advantages of and practice tips for using Zoom in FINRA Arbitration
- The current status of the Georgia State Court case and the Lowenstein Sandler Report
- Proposed Rule Changes and the status of Expungement
- The potential for AI in the FINRA arbitration world”
Credit:
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
Prerequisite:
General knowledge of FINRA arbitration
Course Code:
1410789
NY Category of CLE Credit:
Areas of Professional Practice
Total Credit:
1.0 CLE
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:
Heather B. Middleton, Counsel
Riker Danzig 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
Rumberger Kirk
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
- FINRA case filings are up in first quarter 2023 as compared to first quarter 2022
- The number of breach of SEC Regulation Best Interest (Reg. BI) claims filed in first quarter 2023 is nearly ten times the number of such claims filed in first quarter 2022
- Common stock remains the most frequent type of security at issue in customer arbitrations
- Breach of contract remains the top controversy type in Intra-Industry arbitrations
- A number of changes to the FINRA Code of Arbitration Procedure, including to the generation of arbitrator ranking lists, have been proposed
- Some of them seek to codify current FINRA Dispute Resolution practices
- Others seek to provide more clarity
Heather B. Middleton, Counsel
Riker Danzig LLP
- Proposed changes to the expungement process continue to evolve. We will talk about where things stand.
- The Covid-19 pandemic brought on, or at least accelerated, the use of virtual hearing technology. We will discuss when it makes sense to go virtual versus in-person, as well as practice tips.
- The Wells Fargo arbitration award from 2022 and the resultant Georgia State Court rulings have sparked debate and discussion on FINRA’s arbitrator selection process. We will discuss what transpired and its impact on FINRA arbitration.
- AI is becoming increasingly prevalent in many contexts. We will discuss ChatGPT and its benefits, risks and potential implications in FINRA arbitration.
Date & Time:
Wednesday, May 17, 2023
12:00 pm to 1:00 pm (ET)
Who Should Attend:
- Arbitrators & Mediators
- Alternative Dispute Resolution Lawyers
- Securities Lawyers
- Corporate Attorneys
- General Counsel
- Chief Compliance Officers
- Finance Managers
- Investment Managers
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