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This program was recorded on August 20th, 2019
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.
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.
Robert 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.
2 General Credits
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- FINRA’s 2019 examination priorities and risk monitoring as they relate to sales practices and protection of investors
- FINRA Dispute Resolution Statistics and Trends
- Changes to the FINRA Dispute Resolution Portal
- Updates to the FINRA Code of Arbitration Procedure and FINRA arbitration process
- Elder Issues in FINRA Arbitration
- Damages: Well Managed and Market Adjusted Damage Theories