Attention:
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Unraveling FINRA Arbitration: Strategic Insights for Legal Triumph


Level: Intermediate
Runtime: 57 minutes
Recorded Date: September 20, 2024
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Agenda

  • Picking the Right Panel
  • Striking and Ranking Process and Procedure
  • Conducting due diligence and research on the individual arbitrators
  • Arbitrator ranking philosophy and strategy
  • Pleadings: Getting the Law Straight
  • Which state law applies?
  • Choice of Law Principles
  • Conflicts of Law Principles
  • Seeking an award of attorney's’ fees and costs
  • The Panel’s power to award attorneys’ fees and costs
  • Potential pleading pitfalls
  • Careful and Effective Motion Practice
  • Which motions you should file or avoid and why

For NY - Difficulty Level: Both newly admitted and experienced attorneys

Description

Navigating the intricate terrain of FINRA arbitration demands a keen understanding of its procedures and regulations. As disputes within the financial industry come under the purview of FINRA’s Dispute Resolution Program, mastering the selection of arbitrators, staying updated on rule changes, and strategizing for employment law claims become paramount. This CLE course offers a deep dive into these crucial aspects, providing attendees with indispensable insights for achieving success in FINRA arbitration.

Key Topics:
  • Understanding the FINRA arbitrator appointment process
  • Strategizing FINRA arbitrator selection
  • Determining applicable state law for claims and defenses
  • Requesting an award for attorney's fees and costs


Provided By

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Panelists

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Jeffrey Plotkin

Partner
Finn Dixon & Herling LLP

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.

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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.


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