Tuesday, May 19, 2015 | 9:00 a.m. – 12:15 p.m.
Networking Luncheon 12:15 – 1:15 p.m. (included)
PROGRAM CHAIR
Roger M. Deitz
Dispute Resolution
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In the Fall of 2014, FINRA undertook a top to bottom review of its mediation and arbitration programs. Spearheading this effort, FINRA established a task force mandated to thoroughly review these programs and make recommendations. This year’s hot topics program will focus on key issues under review by the task force. Members of the task force, as well as the Director and Chief Counsel of FINRA Dispute Resolution, join a panel of experienced practitioners to examine recent rule changes and key decisions. This program delivers practical suggestions and tested advice on prosecuting and defending securities arbitrations and mediations. Interactive audience participation is a key feature of this annual event. A networking luncheon will be held following the program.
Live Program (includes download of materials):Live Program: $269 Member*/$369 Nonmember
FINRA Arbitrator/Mediator or NFA Mediator: $132.50
(Please Call 212-382-6663 For Discounted Rate)*The member rate applies to NYCB, co-sponsoring & cooperating organization members.
Discounts will be granted to attorneys working for government agencies, public interest groups, full-time students and full-time academics. -
Kenneth L. Andrichik, Senior Vice President, Chief Counsel and Director of Mediation and Strategy, Financial Industry Regulatory Authority
Richard Berry, Executive Vice President and Director of Dispute Resolution, Financial Industry Regulatory Authority
George H. Friedman, Chairman of the Board, Arbitration Resolution Services, Inc, George H. Friedman Consulting, LLC
Deborah Masucci, Chair, International Mediation Institute, Arbitrator, Mediator and Consultant, Masucci Dispute Management and Resolution Services
Joseph C. Peiffer, Peiffer Rosca Wolf Abdullah Carr & Kane LLP, A Professional Law Corporation
Harry T. Walters, Managing Director, Co-Head Client Litigation, Morgan Stanley Wealth Management | Legal and Compliance
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9:00 – 9:10 a.m. Introduction
9:10 – 9:30 a.m. FINRA Report Current Developments and Rule Proposals
Kenneth L. Andrichik & Richard Berry
9:30 – 9:45 a.m. Review of NASD/FINRA Arbitration and Mediation
Deborah Masucci
9:45 – 10:05 a.m. Transparency
George H. Friedman & Deborah Masucci
10:05 – 10:35 a.m. Arbitrators
Joseph C. Peiffer & Harry T. Walters
10:35 – 10:45 a.m. Break
10:45 – 11:15 a.m. Access
George H. Friedman, Joseph C. Peiffer & Harry T. Walters
11:15 – 11:30 a.m. Ethics
Deborah Masucci
11:30 – 11:55 a.m. Mediation
Kenneth L. Andrichik & Roger M. Deitz
11:55 a.m. – 12:15 p.m. Back to the Future: FINRA Arbitration and Mediation
Panel
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New York Credit: 3.5 professional practice
This program provides transitional/non-transitional credit for all attorneys.
California Credit: 3.5 general MCLE
New Jersey Credit: 3.5 general MCLE
Pennsylvania Credit: 2.5 general MCLEprofessional responsibility -
Save $$ on DVDs & CDs
*DVDs$269 Member*/$369 Nonmember*CDs $209 Member/$279 Nonmember
*Materials Only (no CLE credit):$99 Member/$129 Nonmember
*The member rate applies to NYCB, co-sponsoring & cooperating organization members.
* New York residents will be charged the New York sales tax for all audio visual purchases.
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Can’t make it to the program in person? Now you can attend this program from your office or home. Register and view by clicking on the Casemaker logo below:
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Co-Sponsoring Organizations: FINRA, NFA, NYSBA Dispute Resolution Section, New York County Lawyers’ Association – Committee on Arbitration and ADR, and the CPR International Institute for Dispute Prevention and Resolution
Cooperating Organization: American Bar Association Section of Dispute Resolution
Sponsoring Association Committees: Alternative Dispute Resolution, Chris Stern Hyman, Chair; Arbitration, Louis Epstein, Chair; Labor & Employment Law, Rebecca J. Osborne, Chair & Securities Regulation, Sandra L. Flow, Chair
Sponsorship Opportunities are Available! Please Contact:
Ann Rappleye, Director, City Bar Center for CLE | (212) 382-6606 | ARappleye@nycbar.org or
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Darianne De Leon, Program & Sponsorship Coordinator, City Bar Center for CLE | (212) 382-6731 | ddeleon@nycbar.org
