Current Issues in FINRA Arbitration and Enforcement

The Securities Litigation and Alternative Dispute Resolution Committees of the ABA Section of Litigation are pleased to sponsor this program on leading topics of interest to attorneys practicing before the Financial Industry Regulatory Authority. This three-panel seminar, including Michael A. Gross, will first address financial elder abuse and related concerns; a topic of great concern to regulators, litigators, and the public. Next up is a deep dive into arbitration developments in the FINRA forum. And we will conclude with an in-depth look at recent developments in the FINRA expungement process. These panels will address issues and concerns from multiple viewpoints including perspectives from in-house counsel, regulators, neutrals and counsel for claimants, respondents, and financial advisors.

Please click here to register for this event.

Event Location:
Law Offices of Carlton Fields
Corporate Center Three at International Plaza
4221 W. Boy Scout Boulevard, Suite 1000
Tampa, FL 33607