FINRA Arbitration: Best Practices for Handling the Recurring Challenges of the Process

24 Jun , 2025

To register for the upcoming live webinar, please Click Here

FINRA arbitration, an alternative dispute resolution process that is mandatory for most broker-dealer customer and industry disputes, is a quirky process that poses many unique and difficult challenges for legal counsel with little to no experience with the process. Even for seasoned practitioners in the FINRA forum, challenges abound. 

This webinar will focus on best practices for handling certain recurring issues confronted by counsel in FINRA arbitration, including but not limited to defending against legally meritless claims and counterclaims (FINRA rules effectively prohibit arbitrators from dismissing facially deficient claims prior to a full evidentiary hearing) and meeting the heavy burden of proof in cases where a broker may seek to have a settled/denied/withdrawn customer dispute expunged or challenge the grounds for termination reported on Forms U4/U5. The presenters also will outline FINRA’s arcane process of arbitrator selection and provide insights on how to best identify and rank qualified and potentially receptive arbitrators.

 

To register for the upcoming live webinar, please Click Here

More Webcasts

Master Trial Series ...

Session 8 of 10 - Mr. Kornblum, a highly experienced trial and litigation lawyer for over 50 years, ...

Permission to Pivot:...

Permission to Pivot: Ethics, Well-Being, and Redefining Your Legal Career examines the intersection ...

Master Trial Series ...

Session 10 of 10 - Mr. Kornblum, a highly experienced trial and litigation lawyer for over 50 years,...

Master Trial Series ...

Session 7 of 10 - Mr. Kornblum, a highly experienced trial and litigation lawyer for over 50 years, ...

Trust Drafting Inten...

In this presentation, Vanessa Terzian uses examples from actual client documents to demonstrate comm...

Master Trial Series ...

Session 6 of 10 - Mr. Kornblum, a highly experienced trial and litigation lawyer for over 50 years, ...

Tactics for Dealing ...

Aggressive litigation tactics can derail proceedings, intimidate parties, and challenge even the mos...

Agentic AI and the P...

The course will begin by describing what Agentic AI is and how it differs from Generative AI; how it...

Avoiding Healthcare ...

Balance billing in healthcare, especially in relation to Government Programs poses a significant ris...

The GENIUS Act Expla...

The GENIUS Act — signed into law on July 18, 2025 — marks the first comprehensive U.S. l...