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Latest Updates on FINRA Arbitration Rules: Effective Litigation Strategies Explored


Level: Advanced
Runtime: 57 minutes
Recorded Date: May 22, 2023
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Agenda

Key topics include:
  • FINRA Arbitration: Latest Regulatory Trends and Developments
  • FINRA Enforcement Priorities: Analyzing Its Implications
  • Critical Steps and Strategies to Avoid Risks
  • Best Compliance Strategies
  • What Lies Ahead

For NY - Difficulty Level: Experienced attorneys only (non-transitional)

Description

The Financial Industry Regulatory Authority (FINRA) continues its heightened regulation of crowdfunding platforms, trading volume overstatements, and digital signature forgery. Several policy initiatives also remain concerning complex product trading and “restricted firm” designations. Notably, FINRA recently proposed a new set of rule changes that aim to impose austere requirements for registered representatives seeking the expungement of customer disputes.

While these are likely to create drastic implications for arbitration proceedings, practitioners must look closely at any FINRA developments to develop an effective arbitration strategy.

Listen as experienced securities lawyers Debra A. Jenks, Esq. (Debra A. Jenks, P.A.) and Meredith Jowers Lees (Rumberger, Kirk & Caldwell, P.A) as they provide a comprehensive discussion of the latest trends and developments in FINRA arbitration. Speakers, among other things, will also offer critical steps and strategies in this rapidly evolving legal climate.

Provided By

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Panelists

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Meredith Jowers Lees

Partner
Rumberger, Kirk & Caldwell, P.A.

Meredith Jowers Lees focuses her practice on commercial litigation, with extensive experience in securities and financial litigation. She has represented broker-dealers, including clearing brokers, in state and federal court and in FINRA arbitration in a wide variety of disputes including customer claims, employment disputes, member-to-member claims, fraud claims, suitability claims, churning claims, and trust-related claims.

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Debra Jenks

Partner
Debra A. Jenks, P.A.

Ms. Jenks has over 35 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She defends registered persons and entities in regulatory matters. She has represented retail and institutional investors in securities matters and arbitration.

CLE CREDITS

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