PLAY RECORDING

Broadcast Date: Tuesday, June 14, 2022
from 3:00 pm to 4:00 pm (ET)

Overview:

The FINRA arbitration landscape has been continuously reshaped with rule changes, changes in applicable law, changes in format, and new litigation trends. Practitioners in the space should keep themselves abreast of the emerging updates. Join experienced securities arbitration practitioners Rebecca A. Beers (RumbergerKirk) and Heather B. Middleton (Riker Danzig) as they provide a comprehensive discussion of the latest developments. Speakers will offer, among other things,  practice tips in this ever-changing legal landscape.

Key issues that will be covered in this course are:

  • FINRA Arbitration: Latest Updates
  • Exploring the Arbitration-Related FINRA Priorities
  • Demystifying the Proposed Changes in the Expungement Processes
  • Effective Litigation Strategies
  • What Lies Ahead

Credit:

Course Level:

Intermediate

 

Preparation:

Print and review course materials

 

Method of Presentation:

Live Webcast

 

Course Code:

149931

 

Prerequisite:

General knowledge of finance and arbitration laws

 

NY Category of CLE Credit:  

Areas of Professional Practice

 

Total Credit:

1.0 CLE

Speaker Panel:

Rebecca A. Beers, Partner
RumbergerKirk

Rebecca Beers is a partner in the Birmingham office of RumbergerKirk and focuses on securities and commercial litigation. She represents broker-dealers and registered investment advisors in state and federal courts and in FINRA arbitration, litigating claims related to suitability, fraud, breach of fiduciary duty, failure to supervise, clearing broker liability, raiding, employment contracts, and U5 defamation. She also has substantial experience in class actions, insurance law, and employment matters. In addition, Rebecca has developed a wide-ranging knowledge of arbitration law, particularly in post-award litigation in courts and in the enforcement of arbitration agreements.

Heather B. Middleton, Counsel
Riker Danzig LLP

Heather B. Middleton is Counsel in the Securities Litigation, Arbitration, Regulation and Investigations Practice of Riker Danzig 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.

Agenda:

Rebecca A. Beers, Partner

RumbergerKirk

  • The Supreme Court has recently released two decisions affecting practitioners’ ability to get cases into arbitration. We will examine the developments in the law surrounding when and where cases get compelled to arbitration.
  • FINRA has recently amended its rule governing how firms can take action to protect vulnerable investors when the firm believes a fraud is being perpetrated. This webinar will discuss what these changes in the rules are and how they may be translated to issues in arbitration.
  • The SEC has updated its guidance on implementing Reg BI, and FINRA has identified several issues that member firms have had complying with Reg BI. What are these issues and how will they show up in future arbitrations?

Heather B. Middleton, Counsel

Riker Danzig LLP

  • FINRA customer arbitration claims are down.  We will talk about the reasons why and when that may change.
  • Proposed changes to the expungement process were on, then off, then seem to be on again.  We will discuss the evolution and details of the proposal.
  • 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.

Date & Time:

Tuesday, June 14, 2022

3:00 pm to 4:00 pm (ET)

Materials:

Download Course Materials

Who Should Attend:

  • Arbitrators & Mediators
  • Alternative Dispute Resolution Lawyers
  • Corporate Attorneys
  • General Counsel
  • Legal Executives

SPEAKERS

Rebecca A. BeersPartner
RumbergerKirk
Heather B. MiddletonCounsel
Riker Danzig LLP

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