Securities & Regulatory Enforcement

The world of FINRA arbitration is constantly evolving, and staying ahead of emerging issues is critical for financial professionals, legal experts, and compliance officers.

Join Margaret J. Watson, Shareholder at Littler Mendelson P.C., Debra A. Jenks, Esq., Partner at Debra A. Jenks, P.A., and Cheryl Shao-Raw Chang, Associate, at Stradley Ronon Stevens & Young, LLP as they provide a comprehensive exploration of current trends, challenges, and effective strategies for navigating the complexities of FINRA arbitration.

Key Topics:

• Emerging trends in FINRA arbitration, including case volume, claim types, and outcomes.
• Best practices for preparing and presenting cases effectively in arbitration proceedings.
• Recent rule changes and regulatory updates impacting arbitration processes.
• Strategies for managing disputes involving complex financial products.
• Insights on selecting arbitrators and understanding their decision-making processes.
• Practical tips to avoid common pitfalls in FINRA arbitration.