Securities Arbitration & Mediation Hot Topics 2016

Originally held on Thursday, May 12, 2016 | 9 am – 12:15 pm

Roger M. Deitz
Dispute Resolution

  • Recent rule changes and events in financial marketplaces have brought fundamental changes to securities arbitration and mediation. A premier faculty of experienced practitioners, including the Director of FINRA Dispute Resolution, will discuss the status of FINRA Task Force Recommendations, and explore rule changes, decisions, and future developments. 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.

    DVDs & CDs: $269 Member | $369 Nonmember

    On-Demand: $219 Member | $319 Nonmember

    Materials Only (No CLE Credit): $99 Member| $129 Nonmember

    * New York residents will be charged the New York sales tax for all audio visual purchases.

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  • Richard W. Berry
    Executive Vice President & Director of Dispute Resolution
    Financial Industry Regulatory Authority

    Hugh D Berkson
    McCarthy, Lebit, Crystal, & Liffman

    Sandra D. Grannum
    Drinker Biddle & Reath LLP

    Ross B. Intelisano
    Rich, Intelisano & Katz, LLP

    Andrew J. Melnick
    Chief Litigation Counsel
    RCS Capital Corporation

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  • 9:00 am – 9:05 am Introduction
    9:05 am – 9:25 am FINRA Update and Task Force Report
    Richard Berry
    9:25 am – 10:05 am Developments in Employment Disputes

    • Notes Cases: Claims and Counterclaims
      Sandra Grannum & Ross Intelisano
    • Broker Transition: Injunctive Relief and Deferred Compensation Issues
      Andrew Melnick, Sandra Grannum & Ross Intelisano
    10:05 am – 10:25 am Damages Models
    Hugh Berkson & Andrew Melnick
    10:25 am – 10:40 am Break
    10:40 am – 11:10 am Expungement and U-5
    Rich Berry & Panel
    11:10 am – 11:30 am Department of Labor’s Fiduciary Standard Rule
    Hugh Berkson & Andrew Melnick
    11:30 am – 11:55 am Seniors: Mutual Funs and Structured Products
    Hugh Berkson & Sandra Grannum
    11:55 am – 12:15 pm Litigating Outside the Boundaries of FINRA Arbitration
    Ross Intelisano, Andrew Melnick & Richard Berry

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  • This program provides 3.5 credits in professional practice for the New York & New Jersey MCLE requirements. California & Pennsylvania credit differs as it is based on a 60-minute credit hour. The live program provided transitional credit to newly admitted attorneys; the recording does not provide transitional credit.

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  • Click Here to View our Catalog for On-Demand Programs

    Click Here to View our Catalog for CDs, DVDs, and Materials

    * New York residents will be charged the New York sales tax for all audio visual purchases.

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    Purchase Materials
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  • Co-Sponsoring Organizations:
    FINRA, NFA, 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 | Nancy Kramer, Chair
    Arbitration | Dana MacGrath, Chair
    Labor & Employment Law | Jyotin Hamid, Chair
    Litigation | Cary B. Samowitz, Chair
    Securities Regulation | Marc M. Rossell, Chair

    Sponsorship Opportunities are Available! Please Contact:
    Maricela Alfonso| Membership and CLE Relations Associate| (212) 382-6608 | MAlfonso@nycbar.org