On Demand Audio

FINRA Arbitration 101: What You Need to Know to Succeed in the FINRA Forum

(266 reviews)

Produced on October 04, 2019

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Course Information

Time 1h 1m
Difficulty Beginner

Course Description

This course will provide practical advice for all aspects of a FINRA customer arbitration, from the pre-hearing stage through the final hearing. Topics will include the drafting of pleadings, arbitrator selection, the discovery process, motion practice, and hearing preparation, culminating with a discussion of effective strategies at the final hearing.  

Join Angela Turiano and Matthew Plant for a discussion on these issues. Ms. Turiano and Mr. Plant are both New York City-based Principals of the firm Bressler, Amery & Ross. They each focus their practices in securities litigation and regulatory matters. Collectively, Ms. Turiano and Mr. Plant have more than 40 years of experience in the FINRA forum and have conducted hearings across the country.

Learning Objectives:

  1. Familiarize yourself with the FINRA arbitration process and important differences from litigating in court
  2. Examine how to draft effective pleadings
  3. Gain an understanding of how to choose the most favorable arbitrators
  4. Study the discovery process, including motions and e-discovery
  5. Hear how to best prepare for a hearing, including tips on witness and exhibit preparation
  6. Identify practical strategies for the final hearing, including how to examine witnesses and effective opening and closing arguments

Credit Information

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Matthew Plant

Bressler, Amery & Ross

Matt Plant focuses in securities litigation and regulatory law. He has appeared on behalf of corporate and institutional clients in federal and state courts in New York and New Jersey, and at arbitrations before various self-regulatory organizations. He also represents individual registered representatives and corporate clients in connection with self-regulatory organizations and state investigations and inquiries.

Over the past years, Matt has personally witnessed product failures that have resulted in complex litigation for his clients. These failures have included hedge funds and structured products, among other examples. Matt is highly adept in guiding his clients beyond such obstacles and in overcoming financial product specific litigation claims.

Because Matt understands how financial products and services are structured and managed, his ability to work with witnesses involved in litigation claims is highly developed, and frequently a competitive edge for his clients. Often in partnership with in-house counsel, Matt has worked with his clients to ensure that such matters are handled in a consistent fashion and as efficiently as possible, never losing sight of achieving a positive result.

Matt is also a member of Bressler's Senior Issues: Counseling and Litigation Defense group. The lawyers in this group have a shared interest in providing counsel to corporate clients who confront issues affecting seniors.

Angela Turiano

Bressler, Amery & Ross

Angela Turiano focuses in the representation of brokerage firms and individual registered representatives in customer and employment arbitrations and litigation. Angela has worked as in-house counsel for two major securities firms, so she understands, from an internal perspective, the highly specific needs of her clients. Known for her composure and her commitment to achieving results, Angela’s clients also value that she serves as a FINRA Arbitrator. On many occasions, her experience in this capacity has benefited them greatly in terms of navigating beyond FINRA related obstacles.

Angela is a practiced trial lawyer who has appeared on behalf of corporate clients in New York federal and state courts and in arbitrations before various self-regulatory organizations. In addition to her extensive work in the securities arena, Angela has also represented individuals in both state and federal criminal prosecutions, from inception through trial. Prior to entering private practice, Angela served as an Assistant District Attorney in the Kings County District Attorney’s Office, where she prosecuted and successfully brought to trial multiple felony cases including Burglary, Narcotics Sale, Robbery and Kidnapping. 

Highly respected throughout the financial services industry, Angela is an active speaker in the securities community, including speaking engagements at the renowned NYU Stern School of Business and client firm roundtables and compliance conferences. She also served as a panelist for the American Conference Institute, where she has lectured on the latest trends in securities litigation. 

Angela partners with corporate clients to provide free legal advice at the Neighborhood Entrepreneur Law Project (NELP) small business legal clinic, as well as volunteers annually as a mock arbitrator/trial judge in various law school competitions. Angela also speaks annually at the Lincoln High School Career Day in Yonkers, NY. 


Carrie K.

Great program with useful takeaway action points.

James M.

Thank you. Interesting topics and helpful real world examples.

Michael G.

Solid presentation and overview of FINRA Arbitration process and procedure.

Carol A S.

Very practical and efficient presentation

Vincent O.

the two presenters of this program were excellent.

Douglas L.

Very informative; well presented.

Mark B.

Excellent overview and summary.

Stephanie G.

Very instructional and informative. Great presentation!

Alexander H.

Great presentation

Julia R.

A good procedural over view.

Mary F.

Very well done.

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