Tuesday, May 21, 2019 | 9:00 a.m. – 1:30 p.m.
(Includes Networking Luncheon)
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
Associate Dean for Academic Affairs and
Professor of Law
Elisabeth Haub School of Law
Professor of Clinical Legal Education
Director, Securities Arbitration Clinic
St. John’s University School of Law
Winget Spadafora & Schwartzberg LLP
Trade Investment Analysis Group
Michael N. Ungar
Ulmer & Berne LLP
Jeffrey T. Zaino
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 +
- 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
New York: 3.5 Professional Practice
New Jersey: 3.8 General
California: 3.5 General
Pennsylvania: 3.0 General
Financial Industry Regulatory Authority, National Futures Association, and American Arbitration Association
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 | email@example.com