The Securities Litigation Expert Blog

Accelerant Launches Mock and Shadow Securities Arbitration Panel Product

Posted by Jack Duval

Sep 5, 2013 7:29:00 AM

Accelerant provides litigators the ability to present their case to a mock arbitration panel before the actual hearing, as well as the opportunity to have a shadow arbitration panel read daily transcripts or view video testimony to provide real-time insights into trial dynamics.  We have assembled a stable of securities arbitrators from multiple pools across the country and can supplement with candidates from specific locations, if requested.

Mock Arbitration Panels

  • Matched to actual panel composition by demographics and background;

  • Day-long presentation of one or both sides of the case, including: witness testimony; documentary evidence; and exhibits;

  • Immediate feedback through question and answer sessions; perceived areas of concern; and suggestions on how to clarify and strengthen your case.

Shadow Arbitration Panels

  • Matched to actual panel composition by demographics and background;

  • Review of daily transcripts, video testimony, and actual exhibits;

  • Feedback through daily interviews and written summaries;

  • Insight into witness credibility, effectiveness and clarity of arguments and evidence, and arbitrator reactions.

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Topics: FINRA, securities, litigation, arbitration, AAA, SEC, JAMS, Products, Accelerant Products

Comparison of Finra Arbitration to Civil Litigation for Investment Advisors

Posted by Jack Duval

Dec 8, 2012 3:52:44 AM

Sutherland has a concise comparison for Investment Advisors of litigating through Finra's Dispute Resolution forum (arbitration) versus traditional civil litigation through the courts. (Sutherland)  My only critique is that the majority of Investment Advisor agreements I have seen have included arbitration agreements through other forums such as AAA and JAMS.

Finra is generally much less costly than these other forums.

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Topics: FINRA, civil litigation, Investment Advisors, litigation, arbitration, AAA, JAMS

Finra to Facilitate RIA Arbitrations

Posted by Jack Duval

Nov 1, 2012 4:16:37 AM

Bruce Kelly, of InvestmentNews, reports that Finra will soon open its dispute resolution arbitration platform to registered investment advisors.  (IN)  This is good news for RIA investors because those arbitrations have typically been heard in AAA or JAMS forums, which are much more expensive.  RIA firms may also welcome the lower costs.

Finra Dispute Resolution President Linda Feinberg announced that a few RIA cases were already in the system and a formal rollout will be coming soon.  Feinberg also said,

"The move is in no way related to Finra's effort to become the self-regulatory organization overseeing investment advisers."

Readers of this blog will note that we have covered the battle for investment advisor regulation being waged between Finra and the SEC here.  I will leave readers to their own opinions about how this move relates to that dispute.


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Topics: FINRA, RIA, Bruce Kelly, Investment Advisors, Investment Advisor, litigation, arbitration, AAA, Linda Feinberg, SEC, JAMS, Compliance, regulation., InvestmentNews

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