Broadcast Date: Monday, May 17, 2021
from 12:00 pm to 1:00 pm (ET)
Overview:
The securities arbitration landscape has been continuously reshaped with rule changes and complications due to Covid-19 restrictions and resulting virtual hearings, causing complexity for defendants and plaintiffs alike. Thus, all affected professionals must keep themselves abreast of the emerging updates in securities litigation.
In this LIVE CLE Webcast, securities litigation attorneys Rebecca Beers (RumbergerKirk) and Heather Middleton (Murphy & McGonigle, P.C.) will provide an in-depth discussion of the emerging issues surrounding securities arbitration and mediation. Speakers will discuss the challenges from recent FINRA and SEC rule changes and other developments in securities arbitrations. They will also offer best practices needed to cope with the current virtual hearing landscape and resulting legal issues, challenges, and opportunities.
Some of the major topics that will be covered in this course are:
- Legal Overview of Securities Arbitration
- Recent and Upcoming Regulatory Developments and Their Impact on Securities Arbitrations
- COVID-19 Implications
- Effective Case Management and Best Practices
- What Lies Ahead
Credit:
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
Prerequisite:
Experience in securities law
Course Code:
149210
NY Category of CLE Credit:
Skills
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:
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, Partner
Murphy & McGonigle, P.C.
Heather Middleton focuses her practice on defending financial services firms and their employees in litigation, including FINRA arbitrations, involving securities law and other commercial claims, regulatory investigations and enforcement proceedings, and responding to subpoenas. Additionally, Ms. Middleton serves her clients in an advisory role and assists with drafting compliance policies and procedures and agreements, and 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. In addition, Ms. Middleton advises companies concerning cybersecurity policies and procedures, vendor issues and incident response. She has achieved outstanding results for her clients.
Agenda:
Rebecca A. Beers, Partner
RumbergerKirk
- Complying with Reg BI and Getting Sued – with the SEC and FINRA turning their examination focus from firms’ implementation of Reg BI to their compliance with Reg BI, how will this affect customer litigation?
- more viable breach of fiduciary duty claims
- claims/defenses for violation of Reg BI
- changes in standard of care for tort claims
- more discoverable information, etc.
- Post-Award Litigation – Challenging/Defending Arbitration Awards in the Covid Zoom Hearing Era – will the narrow confines of arbitration vacatur law be expanded in light of challenges presented by zoom hearings?
- there have been a couple cases where arbitration awards have been challenged because the arbitrators have been sleeping, inattentive, turning off their cameras, walking away from their computers, etc. during the arbitration hearings
- typically challenges to arbitration awards based on in-hearing arbitrator behavior have not been successful, but will the remote nature of these hearings add an extra element sufficient to expand grounds for vacatur?
Heather B. Middleton, Partner
Murphy & McGonigle, P.C.
- Covid-19’s impact on arbitration hearings; FINRA administratively postponed in-person hearings; Zoom hearings (leveraging technology),
- Expungement – it’s about to get much harder (pending rule changes)
Date & Time:
Monday, May 17, 2021
12:00 pm to 1:00 pm (ET)
Who Should Attend:
- FINRA and SEC Regulatory Lawyers
- Broker-Dealer and Investment Advisory Firm Compliance Officers and In-House Legal Counsel
- Securities Law Practitioners
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