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Debra A. Jenks, Esq.
Partner | Debra A. Jenks, P.A.
Jeffrey Plotkin
Partner | Finn Dixon & Herling LLP

Unraveling FINRA Arbitration: Strategic Insights for Legal Triumph | On-Demand Webinar

Broadcast Date: Friday, September 20, 2024 | 12:00 PM – 01:00 PM ET

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 webcast offers a deep dive into these crucial aspects, providing attendees with indispensable insights for achieving success in FINRA arbitration.

In this webinar, you’ll learn:

  • Understanding the FINRA arbitrator appointment process
  • Strategizing FINRA arbitrator selection
  • Determining applicable state law for claims and defenses
  • Requesting an award for attorneys’ fees and costs

Agenda:

Debra A. Jenks, Esq., Partner
Debra A. Jenks, P.A.
&
Jeffrey Plotkin, Partner
Finn Dixon & Herling LLP

  • 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 attorneys’ 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

Who Should Attend:

  • Banking & Finance Lawyers
  • Securities Law Attorneys
  • Alternative Dispute Resolution Attorneys
  • Regulatory Attorneys
  • Financial Advisors
  • Compliance Officers
  • General/In-house Counsel

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: 1411243 | Total Credit: 1.0

CLE Credit:
CA CLE 1.00 General – Approved Until: 09/20/2026
PA CLE 1.00 General – Approved Until: 09/20/2026
VT CLE 1:00 General – Approved Until: 12/31/2025
NJ CLE 1:00 General – Credits through Reciprocity
NY CLE 1:00 Areas of Professional Practice – Credits through Reciprocity
AR CLE 1:00 General – Credits through Reciprocity
CT CLE 1:00 General – Credits through Reciprocity
NH CLE 1.00 General – Meets the requirements of NH Supreme Court Rule 53
MO CLE 1.00 General – Approved Until: 09/20/2024
GA CLE 1.00 General – Approved Until: 12/31/2024
TN CLE 1.00 General – Approved Until: 09/20/2025
WI CLE 1.00 General – Approved Until: 12/31/2025
MS CLE 1.00 General – Approved Until: 09/20/2025

Self-Apply:
AL, CO, DE, FL, ID, IN, IO, KS, KY, LA, NC, ME, MN, MT, NE, NV, NM, ND, OH, OK, OR, SC, TX, UT, VA, WA, WV, WY

If you’d like us to apply for CLE, you may opt to pay the CLE processing fee here.

No MCLE Requirements:
DC, MD, MA, MI, SD

Not Eligible for CLE:
AK, AZ, HA, IL

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.