Debra A. Jenks, Attorney, Jenks & Harvey LLP to Speak at TKG's Event
The Knowledge Group Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Debra A. Jenks, Attorney, Jenks & Harvey LLP will speak at The Knowledge Group’s webcast entitled “FINRA Arbitration and Enforcement: What You Need to Know LIVE Webcast.
- (1888PressRelease) September 27, 2017 - For further details, please visit:
https://www.theknowledgegroup.org/webcasts/legal/alternative-dispute-resolution/finra-arbitration-and-enforcement-what-you-need-to-know-live-webcast
About Debra A. Jenks
Ms. Jenks has over 30 years of legal experience representing financial institutions, wirehouses, independent broker-dealers, insured broker-dealers, investment professionals, officers and directors, and financial advisers in retail, industry, and employment disputes as well as in compliance and regulatory matters. She has handled cases in court and arbitrations filed with the NYSE, NASD, FINRA, and the AAA. She also represents retail and institutional investors in securities matters and arbitration.
About Jenks & Harvey LLP
Jenks & Harvey LLP is involved in various aspects of securities arbitration and litigation, broker-dealer compliance, regulatory and enforcement defense, registration matters, and representation of registered persons in retail and employment matters.
Event Synopsis:
The Financial Industry Regulatory Authority, Inc. (FINRA) regulates broker-dealer firms and administers most securities-related arbitrations in the US. Over the years, FINRA has been active in working to carry out its mission to protect investors by making sure the securities industry operates fairly and honestly. It has a set of rules for arbitrating disputes between FINRA members and their customers. On November 20, 2016, amendments to the Rule 12504 and 13540 of the FINRA Code of Arbitration Procedure was approved. The changes provide a new and additional basis for pre-hearing motions to dismiss in FINRA arbitrations. In light of these changes, it is important for FINRA members to keep abreast of the latest updates in FINRA arbitrations to reduce the chances of a surprise award.
In this LIVE Webcast, a panel of distinguished professionals and thought leaders organized by The Knowledge Group will discuss FINRA arbitration process, including pre-hearing matters, motion practice, hearings, and awards. They will also provide guidance to FINRA investigations and enforcement actions.
Key topics include:
• Understanding FINRA Arbitration
• The Arbitration Process
• Risks of FINRA Disciplinary Action
• Latest Updates to FINRA Code of Arbitration Procedure
• Best Practices for Counsel
About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Group 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: www.theknowledgegroup.org
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