Broadcast Date: Friday, September 20, 2024
from 12:00 pm to 1:00 pm (ET)
Overview:
Navigating the intricate terrain of FINRA arbitration demands a keen understanding of its procedures and regulations. As disputes within the financial industry come under the purview of FINRA’s Dispute Resolution Program, mastering the selection of arbitrators, staying updated on rule changes, and strategizing for employment law claims become paramount. This CLE webcast offers a deep dive into these crucial aspects, providing attendees with indispensable insights for achieving success in FINRA arbitration.
Key Topics:
- Understanding the FINRA arbitrator appointment process
- Strategizing FINRA arbitrator selection
- Determining applicable state law for claims and defenses
- Requesting an award for attorneys’ fees and costs
Credit:
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-Demand Webcast
Prerequisite:
General knowledge of FINRA arbitration
Course Code:
1411243
Total Credits:
CLE Credit:
CA CLE 1.00 General - Approved Until: 09/20/2026
PA CLE 1.00 General - Approved Until: 09/20/2026
VT CLE 1:00 General - Approved Until: 12/31/2025
NJ CLE 1:00 General - Credits through Reciprocity
NY CLE 1:00 Areas of Professional Practice - Credits through Reciprocity
AR CLE 1:00 General - Credits through Reciprocity
CT CLE 1:00 General - Credits through Reciprocity
NH CLE 1.00 General – Meets the requirements of NH Supreme Court Rule 53
MO CLE 1.00 General - Approved Until: 09/20/2024
GA CLE 1.00 General - Approved Until: 12/31/2024
TN CLE 1.00 General - Approved Until: 09/20/2025
WI CLE 1.00 General - Approved Until: 12/31/2025
MS CLE 1.00 General - Approved Until: 09/20/2025
Self-Apply:
AL, CO, DE, FL, ID, 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, IL
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:
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.
Jeffrey Plotkin, Partner
Finn Dixon & Herling LLP
Jeffrey Plotkin is a Partner in the Litigation department of Finn Dixon & Herling LLP in Stamford CT. Jeff started his career in the SEC’s Enforcement Division, New York Regional Office, where he served as Staff Attorney, Chief of the Branch of Broker-Dealer Enforcement and Interpretations, and Assistant Regional Administrator.
Over the past thirty years in private practice, Jeff has handled scores of arbitration cases before FINRA Dispute Resolution (and its predecessors, NASD, NYSE, and AMEX), JAMS and other arbitration venues. He has represented both claimants and respondents in industry disputes (including but not limited to trading disputes, employment-related disputes, and Form U5 expungements) and customer disputes. He has litigated motions to vacate/confirm arbitration awards in both federal and state court.
Agenda:
Debra A. Jenks, Esq., Partner
Debra A. Jenks, P.A.
and
Jeffrey Plotkin, Partner
Finn Dixon & Herling LLP
- Picking the Right Panel
- Striking and Ranking Process and Procedure
- Conducting due diligence and research on the individual arbitrators
- Arbitrator ranking philosophy and strategy
- Pleadings: Getting the Law Straight
- Which state law applies?
- Choice of Law Principles
- Conflicts of Law Principles
- Seeking an award of attorneys’ fees and costs
- The Panel’s power to award attorneys’ fees and costs
- Potential pleading pitfalls
- Which state law applies?
- Careful and Effective Motion Practice
- Which motions you should file or avoid and why
Date & Time:
Friday, September 20, 2024
12:00 pm to 1:00 pm (ET)
Who Should Attend:
- Banking & Finance Lawyers
- Securities Law Attorneys
- Alternative Dispute Resolution Attorneys
- Regulatory Attorneys
- Financial Advisors
- Compliance Officers
- General/In-house Counsel
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