Securities Arbitration & Mediation Hot Topics 2017

Originally held on Friday, May 12, 2017 | 9 am – 12:30 pm

 

Program Chair 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.

    DVDs & CDs: $269 Member | $369Nonmember
    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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  • Norman Arnoff
    Law Offices of Norman Arnoff

    Richard W. Berry
    Director of Dispute Resolution
    Financial Industry Regulatory Authority (FINRA)

    Steven B. Caruso
    Maddox Hargett & Caruso, P.C.

    Sandra D. Grannum
    Drinker Biddle & Reath LLP

    Matthew Farley
    Drinker Biddle & Reath, NYO (Retired)

    Michael J. McAllister
    Satterlee Stephens LLP

    Barry Temkin
    Mound Cotton Wollan & Greengrass LLP

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  • 9:00 a.m. – 9:05 a.m. Introduction
    9:05 a.m. – 9:30 a.m.  FINRA Update and Task Force Report

    Richard Berry

    9:30 a.m. – 10:00 a.m. Registered Representative or Investment Advisor:

    Different Result?

    • FINRA Jurisdiction
    • DOL Fiduciary
    • Dodd Frank

    Steven B. Caruso, Sandra Grannum & Barry Temkin
    10:00 a.m. – 10:30 a.m.  Ethics

    Panel
    10:30 a.m. – 10:40 a.m.  Break
    10:40 a.m. – 11:00 a.m.  DOL Fiduciary Rule Update

    Norman B. Arnoff
    11:00 a.m. – 12:00 p.m. Nuts and Bolts:

    • Arbitrator Selection
    • Corporate Miranda and Upjohn Warnings
    • Witness Interviews
    • Client Confidentiality
    • Firm v Registered Representative
    • Conflict or Not
    • Cybersecurity
    • Expert – Yes or No
    • Cross Examining the News
    • Open and Close
    • Explained Awards

    Panel

    12:00 p.m. – 12:15 p.m.  The Future of Mediation

    Panel
    12:15 p.m. – 12:30 p.m.  Universal Truths

    Panel

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  • This program provides 3.5 total: 3.0 credits in professional practice & 0.5 in ethics 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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  • Co-Sponsoring Organizations:
    FINRA & National Futures Association

    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 | Barbara L. Seniawski, 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