Securities Arbitration 2019: PLI Boston Groupcast

  • Product Number: 2200054VC1
  • CLE Credits, earn up to:
    7 substantive credits, 0 ethics credits CLE Credit Note
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  • Product Description
  • Agenda & Materials
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  • Product Description

    Product Description

    Why You Should Attend

    This year’s Securities Arbitration program will feature FINRA Dispute Resolution leadership and arbitrators, as well as noted academics and experienced attorneys who represent both customers and industry.  Our faculty will provide practical tips for litigating and arbitrating elder abuse claims and strategies for knowing when and which claims are ripe for mediation. They will also explore the hot ethical issues involved in securities arbitration for advocates and neutrals and getting a diverse panel of arbitrators in the forum. Finally, they will take a look at the latest hot topics and future trends in securities arbitration for 2019.


    What You Will Learn

    • Recent developments in FINRA arbitration and mediation
    • Diverse arbitration and mediation panels: Wall Street meets Main Street
    • Practical and legal considerations for litigating elder abuse claims for the growing senior population
    • Mediation practicum: Best practice tips for optimal results
    • Hot ethical issues in securities arbitration
    • Staying ahead of the curve: Hot topics and future trends in securities arbitration in 2019/2020


    Special Features

    • Earn one hour of Ethics credit 
    • Earn one hour of Diversity, Inclusion and Elimination of Bias credit


    Prerequisites: None
    Intended Audience: Attorneys and allied professionals who represent customers, brokers or broker-dealers in securities arbitration, or those who are seeking to enter into the practice. This program is also appropriate for independent arbitrators and mediators.
    Advanced Prep: None 

  • Agenda

    Agenda & Materials

    • 9:00 AM EDT

      Opening Remarks

    • 9:15 AM EDT

      Recent and Upcoming Developments in FINRA Arbitration and Mediation

      Special proceedings updated Statistics and trends (Proposed) rules for non-attorney representatives Regulatory notices Recruitment of arbitrators and mediators
    • 10:15 AM EDT

      Diverse Arbitration and Mediation Panels: Wall Street Meets Main Street

      “Practical” definitions of diversity and inclusion for neutral panel selection purposes; Strategies to select neutrals to reflect diversity both by parties and by appointment, and to encourage the selection of more neutrals who are women and people of color in matters before FINRA; How to overcome or mitigate implicit and unconscious bias as negative influences and drivers in neutral selection, including implicit bias training; Balancing professional obligations of ABA Model Rule 8.4(g) (which prohibits engaging in in race-, sex-, and national origin-based discriminatory conduct) with similar professional obligations regarding zealous representation of clients’ interests in the context of neutral selection; and Translating clients’ aspirational values and interests into non-discriminatory neutral selection strategies
    • 11:15 AM EDT

      Networking Break

    • 11:30 AM EDT

      Practical and Legal Considerations for Litigating Elder Abuse Claims for the Growing Senior Population

      Managing the upward trend of FINRA elder abuse claims Codification of FINRA’s expedited proceedings for seniors and seriously ill parties How elder abuse statutes vary from state to state
    • 12:30 PM EDT


    • 1:45 PM EDT

      Mediation Practicum: Best Practice Tips for Optimal Results

      Strategizing before, during, and after mediation sessions When to stay an arbitration case for mediation Managing client expectations Hot topics in mediation
    • 2:45 PM EDT

      Hot Ethical Issues in Securities Arbitration

      Conflicts of interest issues raised by multiple representation of claimants against a single respondent, and respondent’s counsel representation of firm and individual broker Preserving confidentiality in the age of technology and social media Solicitation of clients Settlement agreements and confidentiality provisions
    • 3:45 PM EDT

      Networking Break

    • 4:00 PM EDT

      Staying Ahead of the Curve: Hot Topics in Securities Arbitration and Future Trends in 2018

      Case law trends Proposed FINRA rules Unpaid arbitration awards Industry and public investor advocate reactions What the experts believe is on the horizon for 2020
    • 5:00 PM EDT


    Please Note

    MCLE webcasts are delivered completely online, underscoring their convenience and appeal. There are no published print materials. All written materials are available electronically only. They are posted 24 hours prior to the program and can be accessed, downloaded, or printed from your computer.

  • Pricing


    • $1,850.00 - All Registrants