Program Co-sponsor: NYCLA’s Securities and Exchanges Committee
Program Chair: Susan L. Harper, Managing Director, Bates Group, Co-Chair NYCLA Securities & Exchanges Committee (moderator)
Faculty: Richard Berry, Executive Vice President and Director of FINRA Dispute Resolution Services; Ralph Blascovich, Managing Director and Expert Witness, Bates Group; Carlos Provencio, Associate General Counsel, Interactive Brokers; Paula Shaffner, Partner and Chair, Securities Litigation and Enforcement, Stradley Ronon; Ellen Slipp, Mediator, Ellen Slipp Mediation Services
Join us when we share tried and true insights and guidance on managing FINRA virtual hearings:
Topics we will cover:
- FINRA Dispute Resolution Services Developments and Updates
- Tips and Techniques to Best Present on a Virtual Platform (first step: unmute yourself)
- FINRA Zoom Arbitration and Expungement Hearings –Panel Conference, Pre-hearing, Hearing itself
- Handling Exhibits
- Expert Witness Testimony –Witnesses Preparation, Virtual Direct and Cross Examinations
- Virtual Mediations & Breakout Rooms
- A Look Forward –Are Virtual Hearings here to stay after the pandemic is over?
NYCLA Securities & Exchanges Committee: $25.00
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