Six Things to Know about Arbitrating Diminished Capacity Issues in FINRA Customer Cases

By Josh Jones – March 7, 2019 | Unique situations arise when litigating competency issues in the FINRA forum.

Is It Your First Time Having a Client under Investigation by FINRA?

By Joseph S. Simms and Andrew T. Illig – March 7, 2019 | Here’s what you need to know, from receipt of an 8210 letter to the hearing in the enforcement action.

Practice Points

The SEC’s Regulation Best Interest: How to Prepare for the New Standard of Conduct

By Daniel Nathan, Daniel Streim, Nicholas Peterson, and Trace Schmeltz – June 19, 2019 | At its heart, Reg B-I enhances the standard of conduct broker-dealers must meet when serving retail customers, but the package of initiatives also addresses investment advisers’ obligations.

Five Strategies for Effectively Trying FINRA Disciplinary Cases

By James D. Bedsole and Michael R. Gaico – April 22, 2019 | When FINRA enforcement actions culminate in a disciplinary proceeding before FINRA’s Office of Hearing Officers, defense counsel are faced with a unique (and often unfamiliar) proceeding.


SEC Speaks 2019

By Matthew P. Allen | May 10, 2019 | In this podcast, Matthew P. Allen gives a summary of the SEC Enforcement Panel discussion from the 2019 SEC Speaks annual conference.

When Does the FINRA Code Require Arbitration of Customer Claims?

By Peter Tepley – February 11, 2019 | This program discusses FINRA Rule 12200 and the Eleventh Circuit's decision in Pictet Overseas, Inc. v. Helvetia Trust, 905 F.3rd 1183 (11th Cir. 2018) interpreting that rule. In particular, it focuses on the court's analysis of when does a customer dispute with a FINRA Member or Associated person arise in connection with the business activities of the associated person so as to require that the dispute be arbitrated under the FINRA Code of Arbitration procedure. It also briefly discusses the holdings in two other cases dealing with similar issues.

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