Unraveling FINRA Arbitration: Strategic Insights for Legal Triumph

Jeffrey Plotkin is a Partner in the Litigation department of Finn Dixon & Herling LLP in Stamford CT. Jeff started his career in the SEC’s Enforcement Division, New York Regional Office, where he served as Staff Attorney, Chief of the Branch of Broker-Dealer Enforcement and Interpretations, and Assistant Regional Administrator.
Over the past thirty years in private practice, Jeff has handled scores of arbitration cases before FINRA Dispute Resolution (and its predecessors, NASD, NYSE, and AMEX), JAMS and other arbitration venues. He has represented both claimants and respondents in industry disputes (including but not limited to trading disputes, employment-related disputes, and Form U5 expungements) and customer disputes. He has litigated motions to vacate/confirm arbitration awards in both federal and state court.

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.