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.
- 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