Hot Topics and Trends in FINRA Arbitration

Streams live on: Monday, October 15, 2018 at 11:30am EDT

Course Format Webcast

Taught by

Categories:

Course Description

Estimated Duration 90 Minutes
Difficulty Intermediate

This program will explore FINRA’s latest rule proposals and the potential impact of those proposals on FINRA arbitrations. The faculty will also address general trends in arbitrations, including FINRA’s efforts to increase diversity in their arbitrator pool. Lastly, the discussion will cover discovery in the FINRA forum, with a focus on e-discovery and how to best navigate what has become a complex and often costly aspect of arbitration.

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, P.C. They each focus their practices in securities litigation and regulatory matters and have extensive experience handling all aspects of FINRA arbitrations.  


Learning Objectives:

  1. Familiarize yourself with FINRA Arbitration filing statistics and trends
  2. Discover FINRA rule proposals, including both new rules and changes to current rules, and gain insight into the commentary from both the claimants’ and respondents’ bars
  3. Review general aspects of discovery in the FINRA Arbitration forum, including guidance that impacts product cases and e-discovery
  4. Discuss how to best protect your clients in the event of an inadvertent production, including the use of claw-back provisions and confidentiality agreements

Faculty

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. 


$89

$ 89 Business, Corporate, & Securities Law In Stock

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