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Heather B. Middleton
Counsel | Riker Danzig LLP
Peter J. Tepley
Partner | Rumberger Kirk

FINRA Arbitration: Current Issues and Practice Tips for 2023 | On-Demand Webinar

Broadcast Date: Wednesday, May 17, 2023 | 12:00 PM – 1:00 PM ET

Following the controversial ruling by Georgia State Court on the Wells Fargo arbitration award in 2022, the Financial Industry Regulatory Authority (FINRA) is now pushing for a more transparent arbitrator selection procedure. FINRA’s new proposed rule change with the Securities and Exchange Commission (SEC) is aimed at improving the prevailing practices in the arbitration and resolution forum. While the FINRA arbitration landscape remains uncertain until the approved rule changes, practitioners must keep themselves abreast of any developments to mitigate potential drawbacks.

In this LIVE CLE Webcast, securities lawyer Heather B. Middleton (Riker Danzig LLP) and commercial litigator Peter J. Tepley (Rumberger Kirk) will discuss the significant updates and key issues surrounding FINRA arbitration. The distinguished speakers will also share practical tips to prepare you for a FINRA arbitration case.

Key topics include:

  • The current status of FINRA arbitration;
    • FINRA Arbitration statistics
    •  The end of COVID-19 procedures
    • Zoom is here to stay
      • Advantages of and practice tips for using Zoom in FINRA Arbitration
  • The current status of the Georgia State Court case and the Lowenstein Sandler Report
  • Proposed Rule Changes and the status of Expungement
  • The potential for AI in the FINRA arbitration world”

Agenda:

Peter J. Tepley, Partner
RumbergerKirk

  • FINRA case filings are up in first quarter 2023 as compared to first quarter 2022
  • The number of breach of  SEC Regulation Best Interest (Reg. BI) claims filed in first quarter 2023 is nearly ten times the number of such claims filed in first quarter 2022
  • Common stock remains the most frequent type of security at issue in customer arbitrations
  • Breach of contract remains the top controversy type in Intra-Industry arbitrations
  • A number of changes to the FINRA Code of Arbitration Procedure, including to the generation of arbitrator ranking lists, have been proposed
    • Some of them seek to codify current FINRA Dispute Resolution practices
    • Others seek to provide more clarity

Heather B. Middleton, Counsel
Riker Danzig LLP

  • Proposed changes to the expungement process continue to evolve.  We will talk about where things stand.
  • The Covid-19 pandemic brought on, or at least accelerated, the use of virtual hearing technology.  We will discuss when it makes sense to go virtual versus in-person, as well as practice tips.
  • The Wells Fargo arbitration award from 2022 and the resultant Georgia State Court rulings have sparked debate and discussion on FINRA’s arbitrator selection process.  We will discuss what transpired and its impact on FINRA arbitration.
  • AI is becoming increasingly prevalent in many contexts.  We will discuss ChatGPT and its benefits, risks and potential implications in FINRA arbitration.

Who Should Attend:

  • Tax Attorneys
  • Tax Advisors/Consultants
  • Tax Managers
  • Tax Directors
  • Tax Preparers
  • Tax Practitioners
  • Tax Accountants
  • Controllers
  • Chief Financial Officers

Register for this course by clicking the “Take this Course” at the top of the page.

CLE Credit:

Course Level: Intermediate | Advance Preparation: Print and review course materials

Method of Presentation: On-Demand Webinar | Prerequisite: General knowledge of FINRA arbitration

Course Code: 1410789 | Total Credits: 1.0 CLE

Instructions for Participating the Live Webinar

    • Please Register for the course by clicking the "take the course: button if you have not already registered.
    • Check Your Email – 24 hours before the webinar, you will receive an email with all necessary instructions, including access details and course materials. This information will also be posted here in this window when it is available.
    • Download Course Materials – Course materials will be available for download **24-48 hours before** the live webinar. Be sure to review them in advance. The Link to download is available by clicking the lesson tab.
    • Join the Webinar – Follow the instructions in the email to access the live broadcast at the scheduled time.
    • Note the Secret Words – During the webinar, secret words will be announced periodically. Please write them down.
    • Take the Quiz – After the webinar, click on the quiz link below and enter the secret words to complete the quiz.
    • Print Your Certificate – Upon completing the quiz, you will be able to print your Certificate of Attendance, which includes instructions on how to obtain CLE, CPE, or other applicable credits for the course.
    • On-Demand Access – The on-demand version of this course will be available 24-48 hours after the live webinar. If you miss the live presentation or need to review the content, you will have access to the on-demand version as an enrolled student. To access on-demand content, click the lesson and follow the instructions.
    • Support: If you have any questions, please refer to the email instructions or contact support: support@theknowledgegroup.zohodesk.com.