The Securities Litigation Expert Blog

New York City Bar Securities Arbitration and Mediation CLE Program

Posted by Jack Duval

May 6, 2013 2:44:41 AM

The New York City Bar Association is sponsoring a half-day program on Securities Arbitration and Mediation on June 4, 2013 from 9am to 1:15pm.  (NYCB)  Here's the schedule:

9:00 - 9:05 a.m. Introduction 

9:05 - 9:25 a.m. FINRA: Breaking News… New Rules, Proposed Rules, Large Case Pilot Project, Pre-Dispute Arbitration Agreements and the Class Action Waiver Linda D. Fienberg 

9:25 – 9:45 a.m. All Public Arbitrator Panels: Special Advocacy Tips, The Importance of Experts, & Expanded Discovery Rules Scott C. Ilgenfritz & Theodore Krebsbach 

9:45 – 10:00 a.m. Who is a Customer? Sandra D. Grannum & Joseph Peiffer 

10:00 - 10:20 a.m. Expungement, In Rem Proceedings & Joint Representation Issues Sandra D. Grannum & Joseph Peiffer 

10:20 - 10:30 a.m. Break 

10:30 - 11:00 a.m. Supervision of “Complex” Products, Non-traded REIT’s, & Leveraged/Inverse ETF’s Darya Geetter & Joseph Peiffer 

11:00 - 11:30 a.m. New Suitability Rule Scott C. Ilgenfritz, Michael Schwartzberg & James Wrona 

11:30 – 11:45 a.m. Claims by and Related to Seniors Theodore Krebsbach & Joseph Peiffer 

11:45 - 12:00 p.m. Interplay Between Arbitration Proceedings and Regulatory Proceedings Sandra D. Grannum, Joseph Peiffer & Michael Schwartzberg 

12:00 – 12:15 p.m. Conversation Between the Audience and the Panel: What do arbitrators want from advocates; The increasing complexity of arbitration

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Topics: FINRA, litigation, supervision, SEC, NYC Bar, Compliance, regulation., education

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