Broadcast Date: Wednesday, May 17, 2023
from 12:00 pm to 1:30 pm (ET)

Overview:

In this LIVE Webcast, a panel of thought leaders and professionals brought together by The Knowledge Group will provide and present an in-depth analysis of the fundamentals as well as recent developments in FINRA Arbitration: Current Issues and Practice Tips for 2023. Speakers will also present all important issues surrounding this significant topic. Join us for this Knowledge Group Webinar!

Credit:

Course Level: 

Intermediate

 

Advance Preparation: 

Print and review course materials

 

Method of Presentation: 

Live Webcast

 

Prerequisite:

General knowledge of finance and arbitration laws

 

Course Code:

1410789

 

NY Category of CLE Credit:

Areas of Professional Practice

 

Total Credit:

1.5 CLE

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:

Heather B. MiddletonCounsel

Riker Danzig LLP

 

Peter J. TepleyPartner

RumbergerKirk

Date & Time:

Wednesday, May 17, 2023

12:00 pm to 1:30 pm (ET)

A recording will be available to view 24-48 hours after the live date.

Materials:

Coming Soon.

Please check back again later.

Who Should Attend:

Coming Soon.

Please check back again later.

SPEAKERS

Heather B. MiddletonCounsel
Riker Danzig LLP
Peter J. TepleyPartner
Rumberger Kirk

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