Heather Middleton, Partner, Murphy & McGonigle to Speak at The Knowledge Group’s Webcast

Top Quote The Knowledge Group, the leading producer of regulatory focused webcasts, has announced today that Heather Middleton, Partner, Murphy & McGonigle will speak at its webcast entitled, “Securities Arbitration & Mediation: Hot Buttons Explored.” This event is scheduled for Monday, May 17, 2021 from 12:00 PM to 1:00 PM (ET). End Quote
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    About Heather Middleton
    Heather Middleton focuses her practice on defending financial services firms and their employees in litigation, including FINRA arbitrations, involving securities law and other commercial claims, regulatory investigations and enforcement proceedings, and responding to subpoenas. Additionally, Ms. Middleton serves her clients in an advisory role and assists with drafting compliance policies and procedures and agreements, and helping firms comply with regulatory requirements. She also performs due diligence on behalf of Authorized Participants and lead market-makers providing seed capital for the launch of new exchange traded funds. In addition, Ms. Middleton advises companies concerning cybersecurity policies and procedures, vendor issues and incident response. She has achieved outstanding results for her clients.

    About Murphy & McGonigle
    Murphy & McGonigle serves the regulatory counseling, enforcement defense and high-stakes litigation needs of clients across the full spectrum of the financial services industry – from national banks, broker-dealers, investment advisers, and hedge funds, to national and international securities markets and exchanges. Many of the firm’s partners formerly served in senior positions at the U.S. Department of Justice, SEC, FINRA, and the CFTC, and several served in senior executive positions in major financial institutions on Wall Street.

    The firm was named 2021 “Law Firm of the Year” for Securities Regulation by U.S. News – Best Lawyers. It has been rated a National Tier One law firm in Securities Regulation and Litigation - Securities Litigation for nine consecutive years by in the same survey. Chambers USA recently ranked Murphy & McGonigle among the top six law firms in the United States in Financial Services – Regulation (Broker-Dealer) and has commented, “They are highly respected by U.S. regulators.

    The securities arbitration landscape has been continuously reshaped with rule changes and complications due to Covid-19 restrictions and resulting virtual hearings, causing complexity for defendants and plaintiffs alike. Thus, all affected professionals must keep themselves abreast of the emerging updates in securities litigation.

    In this LIVE CLE Webcast, securities litigation attorneys Rebecca Beers (RumbergerKirk) and Heather Middleton (Murphy & McGonigle, P.C.) will provide an in-depth discussion of the emerging issues surrounding securities arbitration and mediation. Speakers will discuss the challenges from recent FINRA and SEC rule changes and other developments in securities arbitrations. They will also offer best practices needed to cope with the current virtual hearing landscape and resulting legal issues, challenges, and opportunities.

    Some of the major topics that will be covered in this course are:
    -Legal Overview of Securities Arbitration
    -Recent and Upcoming Regulatory Developments and Their Impact on Securities Arbitrations
    -COVID-19 Implications
    -Effective Case Management and Best Practices
    -What Lies Ahead

    About The Knowledge Group
    Founded in November 2006, The Knowledge Group has been at the forefront of providing quality continuing education programs for lawyers, accountants, financial executives, risk and compliance specialists, human resources professionals, technology officers, and business consultants in a wide range of industries.

    The Knowledge Group strives to be the best-in-class provider of continuing education by bringing forth relevant content you can’t get anywhere else.

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