Securities Arbitration & Mediation Hot Topics 2018

Tuesday, May 15, 2018 | 9:00 am – 12:30 pm

Includes Networking Luncheon | 12:30 pm – 1:30 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. 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: $134.50

    To register as a member of the supporting organizations, please call 212-382-6663.

  • Richard W. Berry
    Director of Dispute Resolution
    Financial Industry Regulatory Authority (FINRA)
    William D. Briendel
    Greenberg Traurig LLP
    Gregory M. Curley
    Senior Litigation Counsel
    Advisor Group
    Christine Lazaro
    Professor of Clinical Legal Education
    Director, Securities Arbitration Clinic
    St. John’s University School of Law
    Jenice 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


    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


    11:30 a.m. – 12:15 p.m. Claims Under $100k                          

    Greg Curley

    The Irish Model                                

    Roger M. Deitz

    Hearing Efficiency                           


    12:15 p.m. – 12:30 p.m. Crypto Currency


  • 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 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 |