Peter Tepley, Partner, Rumberger Kirk & Caldwell to Speak at The Knowledge Group’s FINRA Arbitration and Enforcement
Peter Tepley, Partner, Rumberger Kirk & Caldwell to Speak at The Knowledge Group’s FINRA Arbitration and Enforcement: Current Issues in 2018 and Beyond LIVE Webcast.
- (1888PressRelease) March 14, 2018 - The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Peter Tepley, Partner, Rumberger Kirk & Caldwell will speak at The Knowledge Group’s webcast entitled: “FINRA Arbitration and Enforcement: Current Issues in 2018 and Beyond LIVE Webcast.” This event is scheduled for April 5, 2018 from 3:00pm to 4:30pm (ET).
For further details, please visit:
https://www.theknowledgegroup.org/webcasts/finra-arbitration-and-enforcement-2018
About Peter Tepley
Peter Tepley is a partner in the Birmingham office of Rumberger, Kirk and Caldwell. Tepley frequently represents securities broker dealers, including clearing brokers, and their registered representatives in customer, employment, and industry disputes in FINRA arbitrations as well as state and federal courts. He also represents public and private companies and their officers and directors in a variety of complex business disputes, including business torts and breach of contract cases. He defends businesses and individual officers and directors in class actions, including securities class actions.
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, financial services litigation, labor and employment law, bankruptcy, insurance coverage, professional liability and administrative law. Offices are located in Orlando, Tampa, Miami, Tallahassee and Birmingham.
Event Synopsis:
FINRA Rules and the arbitration landscape are constantly changing. FINRA members and practitioners must stay sensitive to the issues and new developments to reduce the chances of surprise awards and enforcement actions.
In a LIVE Webcast, a panel of thought leaders and practitioners assembled by The Knowledge Group will discuss latest and significant issues and developments in FINRA arbitration, as well as current regulatory focus. The speakers will also provide considerations on arbitrator selection, tips for controlling costs in discovery and expert engagement, and discuss compliance issues.
Key topics include:
• The FINRA Arbitration Process including rule changes, arbitrator selection and expungement
• Best Practices for Counsel
• Current regulatory focus on:
o Commission and fee-based accounts
o Suitability and fiduciary duty
o Issues surrounding the elderly and retirement savers
o Supervision of industry participants with disciplinary disclosures
o Churning
o Cybersecurity and duty to protect customer information
About The Knowledge Group/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 for an event, please visit: http://theknowledgegroup.org/
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