Clint A. Corrie, Partner, Lewis Brisbois Bisgaard & Smith LLP to Speak at TKG's FINRA Arbitrations
The Knowledge Group Live Webcast Series has announced today that Clint A. Corrie, Partner, Lewis Brisbois Bisgaard & Smith LLP will speak at the Knowledge Congress’ webcast entitled: “FINRA Arbitrations: A Comprehensive Guide for 2018 and Beyond LIVE Webcast.”
- (1888PressRelease) September 02, 2018 - This event is scheduled for Friday, September 7, 2018 @ 12:00 PM to 2:00 PM (ET).
For further details, please visit:
https://www.theknowledgegroup.org/webcasts/finra-arbitrations-2018/
About Clint A. Corrie
Clint A. Corrie is a partner in the Dallas office of Lewis Brisbois. He focuses his practice primarily in complex commercial litigation, with an emphasis on banking, securities litigation, and arbitrations before FINRA panels. He represents broker-dealers, investment advisers, wealth management advisers, hedge funds and private equity firms and their professionals in a wide range of securities matters including sales practices, customer complaints, suitability and supervisory claims, regulatory inquiries, investigations, and FINRA and SEC enforcement proceedings. Mr. Corrie is also experienced in professional liability matters and coverage involving financial institution bonds. He has represented national banks and credit unions in litigation between financial institutions, involving syndicated loans and participations.
About Lewis Brisbois Bisgaard & Smith LLP
Founded In 1979 by seven lawyers from a premier Los Angeles firm, less than 40 years later, Lewis Brisbois Bisgaard & Smith LLP (Lewis Brisbois), an AMLAW 100 firm, has grown to more than 1,200 attorneys in 42 offices in 26 states, and dedicates itself to a high-achieving and diverse law firm culture focused on client service in more than 50 legal practice areas for clients of all sizes in every major industry. Lewis Brisbois has built longstanding relationships with corporate and institutional clients based on our ability to provide comprehensive service on a national scale.
Event Synopsis:
In December 2017, the Financial Industry Regulatory Authority (FINRA) issued a proposal that will revamp and strengthen expungement rules. Proposed changes include adjustments to the timeframe of filing expungement requests and the mandated unanimous consent of a FINRA arbitration panel to grant expungement. Brokers, however, are opposing to the proposed changes.
Our panel of key thought leaders and practitioners will offer a discussion of the fundamentals and updates regarding these proposed changes as well as other developments concerning significant issues surrounding FINRA Arbitrations. This LIVE Webcast aims to help you to avoid common pitfalls and risk issues in the evolving climate of FINRA forum.
Key topics include:
• Best Practices
• The Customer Code and Proposed Changes
• Arbitrator Selection and Discovery
• Drafting an Effective Answer
• Motions to Dismiss under Rule 12504
• Vacating an Arbitration Award
• Standards of Conduct (DOL Fiduciary vs Regulation Best Interest)
• FINRA focus on Senior investors
• Securities Product & Controversy Claims
• Supervision and High Risk Brokers
• Revised Sanctions Guidelines
• Unpaid Arbitration Awards
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Congress was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: http://theknowledgegroup.org/
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