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
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.
How Broad Is “Scheme” Liability Under Rule 10b-5 Following Lorenzo v. SEC?
By Jessica Ortiz, Caleb Hayes-Deats, and Michelle Parthum – April 5, 2019 | It could be one of the most significant securities cases of the past decade.
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.
Newsletter Archive
Read the latest Securities Litigation newsletter and access our newsletter archive.
Read - our newslettersSecurities Litigation
Learn how to get involved with the Securities Litigation committee and maximize your Section membership!
Events & CLE
May
21
Events | In-Person
Regional CLE Program: Ninth Annual Food & Supplements Workshop
CLE 330 min
The Regional CLE Program: Ninth Annual Food & Supplements Workshop will bring together experienced practitioners, industry experts and in-house lawyers to discuss the most recent litigation and regul…
Jun
20
Events | In-Person
Fourth National Institute on Cybersecurity and Data Protection: A Law Firm's Responsibility in Managing Data Risk
ETHICS 60 min
Increasingly law firms are under the microscope for their own data handling practices. What happens when it’s your firm that’s been breached?
Jun
21
Events | In-Person
Sixth Annual Class Actions and Mass Torts Regional CLE Program
CLE 240 min
Join us for the annual Regional CLE Program on Class Actions and Mass Torts in San Francisco CA. A diverse and knowledgeable faculty of judges, academics, practitioners from both sides of the bar, an…