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This program was recorded on August 28, 2018
The Financial Industry Regulatory Authority (“FINRA”) is the arbitration forum where customers, broker dealers, and registered persons generally must appear before to resolve disputes. Failure to have a basic understanding of the FINRA arbitration process, ethical considerations, and the rules and regulations of the financial services industry can lead to disastrous results for all parties and counsel involved in the process. This seminar will provide the attendees with knowledge of the nature of claims which are mandated to be arbitrated at FINRA, the arbitration process itself, and the potential related regulatory sequellae of such claims and dispute resolution process.
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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- What Is Finra?
- Who Has To Arbitrate At Finra
- Should I Stay Or Should I Go Strategies
- The Finra Arbitration Process
- Claims To Be Adjusted
- Analysis Of The Activities
- It’s All About The Numbers
- Panel Risk
- Role Of Limited Discovery At Finra
- Settlement Discussions And Mediation
- The Hearing – The Story Is Told
- The Finality Of A Finra Award