The Securities Arbitration and Mediation 2018 seminar and webcast will take place Thursday, November 29, 2018 from 9:00am - 4:45pm.
Principal Jeffrey Friedman will be a speaker from 9:10am - 10:00am on a panel titled "30 Years of Mandatory Arbitration." This session will include:
- What the main combatants recall about the 1987 Supreme Court arguments in McMahaon v Shearson
- How securities arbitration has evolved since McMahon
- How cases have changed
- How claims have remained the same
- Key improvements in its evolution
- Needed improvements as it continues to evolve
Principal Angela Turiano will be a speaker from 2:35pm - 3:25pm on the panel titled "Expungement Cases." This session will include:
- Understanding the ground rules - when such cases can and can't be brought under the new FINRA expungement rules.
- How to prove that either:
- The claim, allegation or information is factually impossible or clearly erroneous;
- The registered person was not involved in the alleged investment-related sales practice violation, forgery, theft, misappropriation or conversion of funds; or
- The claim, allegation or information is false.
- How a broker's attorney goes about obtaining supporting documents
- How to deal with an expungement case where the customer opposes the relief sought
- How to deal with the "hot panel"
- How to prepare your broker-client
- Following a successful expungement arbitration, how to convince FINRA to waive participation in subsequent Petition to Confirm the Award
Principal Matthew Plant will be a speaker from 3:40pm - 4:35pm on the panel titled "Ethics in an Evolving Process." This session will include:
- Representingf multiple claimants
- Representing multiple respondents
- Solicitation problems: When to call and when to write prospective clients
- Conflicts caused by insurance coverage
- Conflicts of interest
From the Program Website:
The key to successful securities arbitration and mediation is telling your story in memorable and persuasive fashion. This program will help you master those skills while also bringing you up-to-date on recent developments in the law. Gathered from the "best and brightest" of the New York State Bar, this program will, in one day, highlight the most critical advancements in securities arbitration and mediation since this program was last presented.
For additional information, please click here.