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

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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evidentiary hearing) and meeting the heavy burden of proof in cases where a broker may seek to have a settled/denied/withdrawn customer dispute expunged or challenge the grounds for termination reported on Forms U4/U5.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.

 

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