Meredith Lees, Partner, Rumberger Kirk & Caldwell to Speak at TKG’s FINRA Arbitrations: A Comprehensive Guide for 2018 and Beyond LIVE Webcast
The Knowledge Group Live Webcast Series has announced today that Meredith Lees, Partner, Rumberger Kirk & Caldwell 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 Meredith Lees
Meredith Jowers Lees focuses her practice on commercial litigation, with extensive experience in securities and financial litigation. She has represented broker-dealers, including clearing brokers, in state and federal court and in FINRA arbitration in a wide variety of disputes including customer claims, employment disputes, member-to-member claims, fraud claims, suitability claims, churning claims, and trust-related claims.
About Rumberger, Kirk & Caldwell
Rumberger, Kirk & Caldwell provides litigation and counseling services in a wide range of civil practice areas including product liability, commercial litigation, construction, real estate, intellectual property litigation, securities litigation, labor and employment law, bankruptcy, insurance coverage, professional liability and administrative law. Offices are located in Orlando, Tampa, Miami, Tallahassee and Birmingham, Alabama.
The firm’s securities and financial services litigation practice focuses on representing regulated entities – including broker-dealers, investment advisers, underwriters, and investment fund entities – in a wide variety of securities-related litigation, FINRA arbitrations, regulatory investigations and actions and administrative proceedings. In addition, Rumberger's securities and financial services litigation practice group also represents public and private companies, including their directors and executive officers, in a wide variety of securities related cases.
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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