REGISTER - LIVE WEBCAST

Broadcast Date: Tuesday, June 14, 2022 from 12:00 pm to 2:00 pm (ET)

Overview:

As part of its mandate to ensure that investors and regulators have the information they need regarding broker-dealer operations, the Financial Industry Regulatory Authority (FINRA) continues to initiate significant efforts in improving the expungement framework. One of the top priorities in its anticipated regulatory notice is to revisit the proposed policy changes for the expungement processes, particularly concerning the rules for specialized arbitration panels. It underscores the need for arbitrators to look closely at any FINRA developments to develop an effective litigation strategy.

Join securities litigation and arbitration experts Rebecca A. Beers (Rumberger, Kirk & Caldwell, P.A) and Heather B. Middleton (Riker Danzig Scherer Hyland & Perretti LLP) as they provide a comprehensive discussion of the latest regulatory trends and policy changes in FINRA arbitration. Speakers, among other things, will offer effective compliance strategies 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:

2.0 CLE

Speaker Panel:

Rebecca A. Beers, Partner
Rumberger, Kirk & Caldwell, P.A

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 Scherer Hyland & Perretti 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.

Agenda:

Rebecca A. Beers, Partner

Rumberger, Kirk & Caldwell, P.A

Heather B. Middleton, Counsel

Riker Danzig Scherer Hyland & Perretti LLP

Materials:

Coming Soon.

Please check back again later.

Who Should Attend:

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

SPEAKERS

Rebecca A. BeersPartner
Rumberger, Kirk & Caldwell, P.A
Heather B. MiddletonCounsel
Riker Danzig Scherer Hyland & Perretti LLP

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