Hot Topics and Trends in FINRA Arbitration

This program will explore FINRA's latest rule proposals and the potential impact of those proposals on FINRA arbitrations. The faculty will also address general trends in arbitrations, including FINRA's efforts to increase diversity in their arbitrator pool. Lastly, the discussion will cover discovery in the FINRA forum, with a focus on e-discovery and how to best navigate what has become a complex and often costly aspect of arbitration.

Join Angela Turiano and Matthew Plant for a discussion on these issues. Ms. Turiano and Mr. Plant are both New York City-based Principals of the firm Bressler, Amery & Ross, P.C. They each focus their practices in securities litigation and regulatory matters and have extensive experience handling all aspects of FINRA arbitrations.  

Learning Objectives:

1. Familiarize yourself with FINRA Arbitration filing statistics and trends
2. Discover FINRA rule proposals, including both new rules and changes to current rules, and gain insight into the commentary from both the claimants' and respondents' bars
3. Review general aspects of discovery in the FINRA Arbitration forum, including guidance that impacts product cases and e-discovery
4. Discuss how to best protect your clients in the event of an inadvertent production, including the use of claw-back provisions and confidentiality agreements