How to Arbitrate a Securities Case - A Practical Program

Frank Cuccio will be speaking at the New Jersey State Bar Association seminar "How to Arbitrate a Securities Case - A Practical Program." The program will take place April 18, 2017 from 5:30-8:30pm at the New Jersey Law Center in New Brunswick, NJ.

About the Program

Arbitration has become more prevalent in many areas of litigation and the securities industry is no exception. Most brokers and brokerage houses have agreements with FINRA that require them to arbitrate disputes with customers. If you are in-house counsel, outside counsel, or represent consumers in disputes with brokers or brokerage firms, you won’t want to miss this program.

This seminar is a practical introduction to securities arbitration before the Financial Industry Regulatory Authority (FINRA). FINRA is the largest self-regulatory organization in the securities industry in the United States and arbitration is the most common method of resolving disputes in the securities industry. This program focuses on the unique aspects of FINRA arbitration and provides practical insights from panelists experienced in prosecuting and defending FINRA cases, as well as a FINRA arbitrator.

Topics include:
  • The differences between arbitration and litigation
  • The outlook for a proposed CFPB rule re: class action waivers in arbitration agreements in contracts for consumer financial goods and services
  • How to use the FINRA portal
  • Pleadings and discovery in FINRA arbitration
  • Conferences in FINRA arbitration
  • Common securities arbitration claims
For additional information, click here.