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.
Securities Litigation
The Securities Litigation Committee has a diverse membership that includes attorneys from both the plaintiff and defense perspective, corporate counsel, and academics. The committee strives to be an invaluable resource to those practicing or interested in securities litigation, arbitration, or regulatory enforcement matters.
Articles
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.
Audio
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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Events & CLE
Jul
25
Events | In-Person
ABA Cross-Border Institute: The Intersection of Global Discovery, Privacy and Data Security
ETHICS 60 min
Join U.S. and E.U. data privacy experts for the latest on GDPR, complying with privacy requirements globally, and dealing with cross-border incidents. Complimentary in-house counsel registrations ava…
Oct
17
Events | In-Person
23rd Annual National Institute on Class Actions
ETHICS 60 min
This premier class action conference is in Nashville and more relevant than ever. Whether you litigate and try class action lawsuits, want to learn how to best help your clients, or learn about curre…
Nov
13
2019 Women in Litigation Joint CLE Conference
CLE 825 min
The conference will highlight women Leading for Success in the Courtroom, in the Judiciary and in the Profession. You'll have the opportunity to learn from leading litigators from across the nation a…