Tuesday, May 15, 2018 | 9:00 am – 12:30 pm
Includes Networking Luncheon | 12:30 pm – 1:30 pm
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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. Audience participation and a post program luncheon are key features of this program.
Live Program & Webcast: $269.00 Member | $369.00 Nonmember
NYCB Non-Profit, Co-Sponsoring & Cooperating Org. Members, FINRA/NFA Arbitrators & Mediators: $134.50To register as a member of the supporting organizations, please call 212-382-6663.
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Richard W. Berry
Director of Dispute Resolution
Financial Industry Regulatory Authority (FINRA)William D. Briendel
Greenberg Traurig LLPGregory M. Curley
Senior Litigation Counsel
Advisor GroupChristine Lazaro
Professor of Clinical Legal Education
Director, Securities Arbitration Clinic
St. John’s University School of LawJenice L. Malecki
Malecki Law
Alejandro Schwed
Executive Director
Morgan Stanley | Legal and Compliance -
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. Claims Against Investment Advisors Panel
10:00 a.m. – 10:30 a.m. Elder Investors and Their Disappointed Families William D. Briendel
10:30 a.m. – 10:40 a.m. Break 10:40 a.m. – 11:00 a.m. Expungement Alejandro Schwed
11:00 a.m. – 11:30 a.m. Current Issues - Protocol
- Eligibility and Statute of Limitations
- Firm v Registered Representative
- Multi Party Arbitrations
- Gender Issues
- Explained Awards
Panel
11:30 a.m. – 12:15 p.m. Claims Under $100k Greg Curley
The Irish Model
Roger M. Deitz
Hearing Efficiency
Panel
12:15 p.m. – 12:30 p.m. Crypto Currency Panel
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CLE Credit
NY: 3.5 professional practice
NJ: 3.9 general
CA: 3.5 general
PA: 3.0 general -
Co-Sponsoring Organizations:
Financial Industry Regulatory Authority (FINRA)
National Futures AssociationCooperating Organization:
American Bar Association Section of Dispute ResolutionSponsoring 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, ChairSponsorship Opportunities are Available! Please Contact:
Maricela Alfonso| Membership and CLE Relations Associate| (212) 382-6608 | MAlfonso@nycbar.org