Recovering Your Client's Investment Losses in FINRA Arbitration

At some point in your practice, you may field a distress call from a client who has experienced significant investment losses due to their broker's alleged negligence or misconduct. Typically, such disputes are settled within the arbitration framework of the Financial Industry Regulatory Authority (FINRA). This course offers a comprehensive walkthrough of the FINRA arbitration process, highlighting common pitfalls and key strategies essential for effective advocacy. Participants will learn how to draft a persuasive Statement of Claim, select the right arbitrators, and adeptly prepare for the hearing under the constraints of FINRA's limited discovery options. Designed for attorneys with foundational experience in courtroom or other arbitration settings, this program aims to refine your skills and enhance your ability to represent clients successfully in complex arbitration scenarios. 

Learning Objectives:

1. Evaluate your client's potential claim with a focus on four pivotal factors that could determine the case's outcome
2. Craft a clear and assertive Statement of Claim that articulates viable theories of recovery
3. Master the critical process of ranking and striking to choose the most favorable arbitrators for your client's case
4. Organize and build your case effectively, navigating the limited discovery available under FINRA rules
5. Review techniques for presenting your case compellingly at the arbitration hearing to maximize your client's chances of success