Securities Arbitration & Mediation Hot Topics 2017

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

Includes Networking Luncheon | 12:30 pm – 1:30 pm

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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. Interactive audience participation is a key feature of this annual event. A networking luncheon will be held following the program.

    Live Program: $269 Member | $369 Nonmember
    New York City Bar Non-Profit, Co-Sponsoring & Cooperating Org. Members,
    FINRA/NFA Arbitrators & Mediators: $134.50
    Co-Sponsored By: FINRA & NFA
    Cooperating Organization: American Bar Association Section of Dispute Resolution
    To register as a member of the supporting organizations, please call 212-382-6663.

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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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  • NY: 3.5 total: 3.0 professional practice & 0.5 ethics
    NJ: 3.9 general
    CA: 3.5 total: 3.0 general & 0.5 professional responsibility
    PA: 3.0 total: 2.5 general & 0.5 professional responsibility

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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

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