FINRA Arbitration and Enforcement: What You Need to Know LIVE Webcast
The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, announced today that it has scheduled a live webcast entitled: FINRA Arbitration and Enforcement: What You Need to Know LIVE Webcast.
- (1888PressRelease) October 05, 2017 - This event is scheduled on October 5, 2017 from 12:00 PM to 1:30 PM (ET).
Event Synopsis:
The Financial Industry Regulatory Authority, Inc. (FINRA) regulates broker-dealer firms and administers most securities-related arbitrations in the US. Over the years, FINRA has been active in working to carry out its mission to protect investors by making sure the securities industry operates fairly and honestly. It has a set of rules for arbitrating disputes between FINRA members and their customers. On November 20, 2016, amendments to the Rule 12504 and 13540 of the FINRA Code of Arbitration Procedure was approved. The changes provide a new and additional basis for pre-hearing motions to dismiss in FINRA arbitrations. In light of these changes, it is important for FINRA members to keep abreast of the latest updates in FINRA arbitrations to reduce the chances of a surprise award.
In this LIVE Webcast, a panel of distinguished professionals and thought leaders organized by The Knowledge Group will discuss FINRA arbitration process, including pre-hearing matters, motion practice, hearings, and awards. They will also provide guidance to FINRA investigations and enforcement actions.
Key topics include:
-Understanding FINRA Arbitration
-The Arbitration Process
-Risks of FINRA Disciplinary Action
-Latest Updates to FINRA Code of Arbitration Procedure
-Best Practices for Counsel
Speakers/Faculty Panel
Rogge Dunn
Partner
Clouse Dunn LLP
Debra A. Jenks
Attorney
Jenks & Harvey LLP
Scott M. Andersen
Principal
Andersen PC
For an updated list of the faculty panel, please visit:
https://www.theknowledgegroup.org/webcasts/legal/alternative-dispute-resolution/finra-arbitration-and-enforcement-what-you-need-to-know-live-webcast
About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register for an event, please visit: http://theknowledgegroup.org/
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