FINRA Arbitration 2019 – Regulatory Trends and Arbitration Procedures

Date: June 20 2019 CLE Credits: 2 General

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Live Webcast/Rebroadcast - You watch the course online at the specified date and time shown below. You can ask questions and receive answers during the course.
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Course Description

Live Webcast - June 20, 2019

  • 10:00-12:15pm PST / 11:00-1:15pm MST / 12:00-2:15pm CST / 1:00-3:15pm EST

In July 2007, the National Association Dealers (“NASD”) and the New York Stock Exchange (“NYSE”), the two main self-regulatory organizations (“SROs”) for the securities industry, were merged to create the Financial Industry Regulatory Authority. (“FINRA”).

FINRA, as both the regulator of broker-dealer firms and registered persons, and the administrator of an arbitration forum which has exclusive jurisdiction, for the most part, over its member firms, registered persons, and investors who open accounts with firms which account agreements contain mandatory arbitration clauses, wields a very large and powerful sword.



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  • Debra JenksDebra Jenks
    A native Floridian, Debra has over 30 years of legal experience representing financial institutions, wirehouses, insurance companies and investment professionals, as well as insured broker-dealers, officers and directors, and financial advisers in retail, industry and employment disputes as well as in regulatory matters. Debra has handled claims exceeding hundreds of millions of dollars in court and in arbitrations filed with the NYSE, AAA, NASD, and FINRA. She also represents registered persons, institutions, and individual investors.

    Contact Debra Jenks


    Robert HarveyRobert J. Harvey
    Originally from Joliet, Illinois, Robert is a former Series 7 & 63 licensed securities broker, who has almost 30 years of legal and business experience. Robert began his legal career with the United States Navy where he served on active duty as a Navy Judge Advocate and Special Assistant U.S. Attorney. After leaving active duty in 1990, Robert remained in the Naval Reserves until 2001, leaving the service with the rank of Lieutenant Commander.

    Contact Robert J. Harvey

      • 2 General Credits
      • ProLawCLE will seek approval of any CLE program where the registering attorney is primarily licensed with exceptions stated below. Application is made at the time an attorney registers for a course, therefore approval may not be received at the time of broadcasting.

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        AK, AR, CO, FL, ME, MT, ND, NH, NJ, NY, and PR.

        ProLawCLE is dedicated to providing quality education from expert speakers and ensuring each attorney receives CLE credit for their participation. If for some reason a particular course does not receive approval in the attorney's primary state of licensure, ProLawCLE will give credit for a future approved course or give a full refund, if applicable.

      Each On-Demand course is available to you for 1 year from date of purchase. Additionally, CLE credit is only available within that year.
    1. FINRA’s 2019 examination priorities and risk monitoring as they relate to sales practices and protection of investors
    2. FINRA Dispute Resolution Statistics and Trends
    3. Changes to the FINRA Dispute Resolution Portal
    4. Updates to the FINRA Code of Arbitration Procedure and FINRA arbitration process
    5. Elder Issues in FINRA Arbitration
    6. Damages: Well Managed and Market Adjusted Damage Theories

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