Master the intricacies of FINRA arbitration, from arbitrator selection to case strategy, and ensure legal triumph in the financial industry.
Navigating the intricate terrain of FINRA arbitration requires a keen understanding of its procedures and regulations. As disputes within the financial industry fall under the purview of FINRA’s Dispute Resolution Program, mastering the selection of arbitrators, staying updated on rule changes, and strategizing for employment law claims become paramount. This CLE webcast provides an in-depth exploration of these crucial aspects, equipping attendees with indispensable insights for success in FINRA arbitration.
Topics Covered:
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 40 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.
Partner at Finn Dixon & Herling LLP
Jeffrey Plotkin is a Partner in the Litigation department of Finn Dixon & Herling LLP in Stamford CT. Jeff started his career in the SEC’s Enforcement Division, New York Regional Office, where he served as Staff Attorney, Chief of the Branch of Broker-Dealer Enforcement and Interpretations, and Assistant Regional Administrator. Over the past thirty years in private practice, Jeff has handled scores of arbitration cases before FINRA Dispute Resolution (and its predecessors, NASD, NYSE, and AMEX), JAMS and other arbitration venues. He has represented both claimants and respondents in industry disputes (including but not limited to trading disputes, employment-related disputes, and Form U5 expungements) and customer disputes. He has litigated motions to vacate/confirm arbitration awards in both federal and state court.
