Securities Arbitration & Mediation Hot Topics 2019

Tuesday, May 21, 2019 | 9:00 a.m. – 1:30 p.m.
(Includes Networking Luncheon)


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 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.

    Program Fee: $269 for Members | $369 for Nonmembers

    NYCB Non-Profit, Co-Sponsoring & Cooperating Org. Members, FINRA/NFA/AAA 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)
    George H. Friedman
    George H. Friedman Consulting, LLC
    Fordham Law School
    Jill Gross
    Associate Dean for Academic Affairs and
    Professor of Law
    Elisabeth Haub School of Law
    Pace University
    Christine Lazaro
    Professor of Clinical Legal Education
    Director, Securities Arbitration Clinic
    St. John’s University School of Law
    Michael Schwartzberg
    Winget Spadafora & Schwartzberg LLP
    Ross Tulman
    Trade Investment Analysis Group
    Michael N. Ungar
    Ulmer & Berne LLP
    Jeffrey T. Zaino
    Vice President
    American Arbitration Association


  • 9:00 a.m. – 9:10 a.m. Introduction
    9:10 a.m. – 9:30 a.m. FINRA Update
    Richard W. Berry
    9:30 a.m. – 10:10 a.m. Investment Advisors + Registered Representatives +
    Broker Dealers

    • Where to Sue?
    • What Standards Apply?
    • Fiduciary / Best Interest
    • Attorney Conflicts
    • Miranda/Upjohn Warnings
    • Impact of Regulation
    • Impact of Insurance

    Richard W. Berry, George H. Friedman, Jill Gross, Christine Lazaro, Michael Schwartzberg, Ross P. Tulman, Jeffrey T. Zaino

    10:10 a.m. – 10:40 a.m. Group and Product Cases

    • Individual v Group Proceedings
    • Individual v Group Negotiations
    • Conflicts: does claimant’s counsel have an obligation to disclose offers to all their clients?
    • All or Nothing: what if you cannot get everyone to agree?
    • Resolution Timing: at what point should this occur, if at all?
    • Use and Scope of Confidentiality Agreements

    Christine Lazaro, Michael Schwartzberg

    10:40 a.m. – 10:50 a.m. Break
    10:50 a.m. – 11:10 a.m. Before the Hearing

    • Effective Arbitrator Selection
    • Effective Pre-hearing Motion and Briefing Strategies

    Jill Gross, Michael N. Ungar

    11:10 a.m. – 11:50 a.m. At the Hearing

    • The Art of Persuasion: Convincing the Panel That You’ve Got It Right!
    • Effective Statements of Claim and Statements of Answer
    • Openings and Closings that Make a Difference
    • Demonstratives and Technology that Help Persuade

    Jill Gross, Ross P. Tulman, Michael N. Ungar

    11:50 a.m. – 12:10 p.m. On the Horizon

    • Intra Industry Disputes
    • Recent Cases
    • Legislative Developments

    George H. Friedman, Jeffrey T. Zaino

    12:10 p.m. – 12:30 p.m. Could I Have Done That Better? Learning from Our Missteps


  • CLE Credit
    New York:
    3.5 Professional Practice
    New Jersey:
    3.8 General
    3.5 General
    3.0 General


  • Co-Sponsoring Organizations:
    Financial Industry Regulatory Authority, National Futures Association, and American Arbitration Association

    Cooperating Organization:
    American Bar Association Section of Dispute Resolution

    Sponsoring Association Committees:
    Alternative Dispute Resolution | Charles M. Newman, Chair
    Arbitration | Steven Skulnik, Chair
    Labor & Employment | Katherine A. Greenberg, Chair
    Litigation | Barbara L. Seniawski, Chair
    Securities Regulation | David S. Huntington, Chair

    Sponsorship Opportunities are Available! Please Contact:
    Angie Avila, Membership Outreach and Sponsorships Manager | (212) 382-6608 |