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
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.
The SEC’s Focus on Controls
By Brian Neil Hoffman – March 25, 2019 | Public companies, auditing firms, and both of their personnel should pay attention to several important points, considering the continued enforcement activity in this area.
Audio
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.
Federal Forum Charter Provisions for Securities Claims
By Albert Manwaring – February 11, 2019 | This program addresses whether a Delaware Corporation may include in its certificate of incorporation a forum-selection provision, requiring that 1933 Securities Act claims be filed exclusively in federal court.
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Events & CLE
Apr
23
Events | Webinar
Ethics in Action: The War Law Firms Are Fighting Against Data Breaches
ETHICS 60 min
Learn to secure your firm against breaches! Join our information security specialists, Sharon D. Nelson and John W. Simek, as they provide an overview of the actors, roles, and impacts of a firm cybe…
Apr
26
Events | In-Person
13th Annual National Institute on E-Discovery
CLE 450 min
Join nationally-acclaimed e-discovery lawyers, judges, consultants, and in-house counsel from corporate law departments including Microsoft, Allstate, and Wickr, as they convene for a full day to ana…
May
01
Events | In-Person
2019 Section of Litigation & Solo, Small Firm and General Practice Division CLE Conference
The Section of Litigation, and Solo, Small Firm & General Practice Division Annual CLE Conference is THE premier event for litigators and solo and small firm practitioners.