On Demand

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

1h 1m

Created on October 04, 2019





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

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