Navigate the complexities of securities arbitration with expert insights on case management, discovery, and winning outcomes.
FINRA arbitration plays a central role in resolving disputes within the securities industry, requiring practitioners to navigate a specialized set of rules, procedures, and strategic considerations. A strong command of the arbitration process, from pre-filing decisions through final award, can significantly influence case outcomes and client expectations.
In this CLE webcast, Debra Jenks, Esq., Partner at Debra A. Jenks, P.A., and Richard A. Lewins, Attorney/Owner of LewinsLaw, P.C. will deliver a practical and in-depth discussion of FINRA arbitration proceedings, from case initiation through final award. They will analyze proven strategies for effective case development, persuasive advocacy, and risk management throughout the arbitration lifecycle. They will also examine recent trends, procedural nuances, and common pitfalls that can significantly impact arbitration outcomes.
What You Will Learn in this Webinar
· Overview of the FINRA arbitration process for customers
· Overview of the FINRA arbitration process for Industry
· Strategic considerations in case assessment and strategies for customers
· Arbitrator selection for customer and industry cases
· Discovery, motion practice, and mediation
· Final hearing considerations
· Collections and enforcement issues
· Current Rules and Rules Under Review – FINRA Regulatory Notice 26-06 – Modernizing FINRA Arbitration Rules
Live and Recorded CLE & CPE Webcasts in the Legal, Tax, Finance, Risk, Compliance and Human Resources Industries
Founded in November 2006, The Knowledge Group has established itself as a premier eLearning hub for Continuing Legal Education (CLE), Continuing Professional Education (CPE), and technology-focused webcasts. We equip lawyers, accountants, and industry professionals with expert-driven insights, timely regulatory updates, and practical strategies to help them stay ahead in an ever-evolving landscape.
Partner at Debra A. Jenks, P.A.
Ms. Jenks has over 35 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She defends registered persons and entities in regulatory matters. She has represented retail and institutional investors in securities matters and arbitration.
Attorney/Owner atLewinsLaw, P.C.
For the past 30 years, Richard A. Lewins centers his practice in representing individual investors in claims against brokers, brokerage firms and investment advisors. He has represented hundreds of clients throughout the country in arbitrations before FINRA and AAA, and has recovered substantial amounts through Awards and settlement. He has been a featured speaker and author in the area of securities and securities litigation for the State Bar of Texas, Dallas Bar Association, the Public Investors Advocate Bar Association (PIABA), the American Institute of Certified Public Accountants and the Financial Executives Institute. His opinions on securities related topics are frequently sought by news organizations. Mr. Lewins has held/holds series 7, 63, 24 AND 65 licenses, and has worked for firms including Merrill Lynch, Shearson Lehman Hutton, and HD Vest. Mr. Lewins is currently an advisory representative with ARIVWealth. Richard A. Lewins has been consistently voted one of the best lawyers in Dallas and in Texas, by peer review committees of D Magazine and Texas Monthly. Selection usually represents the top 5 % of attorneys in each practice area. As a Securities Attorney Richard is a member of an elite group of legal professionals devoted to helping people recover from various types of financial loss.
