Broadcast Date: Tuesday, June 17, 2025
from 12:00 pm to 1:30 pm (ET)

Overview:

The world of FINRA arbitration is constantly evolving, and staying ahead of emerging issues is critical for financial professionals, legal experts, and compliance officers.

Join Margaret J. Watson, Shareholder at Littler Mendelson P.C., Debra A. Jenks, Esq., Partner at Debra A. Jenks, P.A., and Cheryl Shao-Raw Chang, Associate, at Stradley Ronon Stevens & Young, LLP as they provide a comprehensive exploration of current trends, challenges, and effective strategies for navigating the complexities of FINRA arbitration.

 

Key topics to be discussed include:

  • Emerging trends in FINRA arbitration, including case volume, claim types, and outcomes.
  • Best practices for preparing and presenting cases effectively in arbitration proceedings.
  • Recent rule changes and regulatory updates impacting arbitration processes.
  • Strategies for managing disputes involving complex financial products.
  • Insights on selecting arbitrators and understanding their decision-making processes.
  • Practical tips to avoid common pitfalls in FINRA arbitration.

Credit:

Course Level:

Intermediate

 

Advance Preparation:

Print and review course materials

 

Method of Presentation:

Live Webcast

 

Prerequisite:

General knowledge of FINRA arbitration

 

Course Code:

1411340

 

Total Credit:

1.5

 

CLE Credit:

 

CA CLE 1.50 General - Approved Until: 5/20/2027

PA CLE 1.50 General - Approved Until: 5/20/2027

VT CLE 1.50 General - Approved Until: 12/31/2026

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

MO CLE 1.50 General - Approved Until: 5/20/2025

 

Pending CLE Application:

MS, GA, TN, WI

 

Self-Apply:

AL, CO, DE, FL, ID, IL, 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

Speaker Panel:

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 L. 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 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.

Cheryl Shao-Raw Chang, Associate         
Stradley Ronon Stevens & Young, LLP

Cheryl Shao-Raw Chang serves as an associate at Stradley Ronon, where she focuses her practice on sercurities litigation. She defends against claims for breach of contract and fiduciary duty; fraud; suitability-related claims; negligence and negligent supervision; violations of National Association of Securities Dealers (NASD), New York Stock Exchange (NYSE) and Financial Industry Regulatory Authority (FINRA) rules; and violations of the Securities Exchange Act and related state statutes. Cheryl can be reached at cchang@stradley.com.

Agenda:

Debra A. Jenks, Esq., Partner 

Debra A. Jenks, P.A.

 

Margaret L. Watson, Shareholder     

Littler Mendelson P.C. 

 

Cheryl Shao-Raw Chang, Associate         

Stradley Ronon Stevens & Young, LLP

Date & Time:

Tuesday, June 17, 2025

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:

  • Banking & Finance Lawyers
  • Securities Law Attorneys
  • Alternative Dispute Resolution Attorneys
  • Regulatory Attorneys
  • Financial Advisors
  • Compliance Officers
  • General/In-house Counsel

SPEAKERS

Debra A. Jenks, Esq.Partner 
Debra A. Jenks, P.A.
Margaret L. Watson  Shareholder     
Littler Mendelson P.C. 
Cheryl Shao-Raw ChangAssociate         
Stradley Ronon Stevens & Young, LLP

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