FREE FORUM: The 20th Annual FINRA Listens … And Speaks

FREE FORUM: The 20th Annual FINRA Listens … And Speaks

Moderator: Martin L. Feinberg, Esq., NYCLA's Committees on ADR and Securities & Exchanges

Speaker: Katherine M. Bayer, Regional Director, Northeast Region, FINRA Dispute Resolution

Co-Sponsors: NYCLA'S ADR Committee, Todd L. Drucker, Chair; NYCLA's Labor Relations & Employment Law Committee, Gregory S. Chiarello and Stephen Michael McQuade, Chairs; NYCLA's Securities & Exchanges Committee, Bob Van De Veire, Chair

                An exchange of views among arbitrators, counsel for claimants, and counsel for respondents

Although the program has no fixed agenda, Ms. Bayer will discuss recent initiatives, including: Changes to arbitrator honoraria for late cancellations of prehearing conferences and for contested subpoenas and orders of production or appearance, the new special proceeding option for simplified arbitration (time limits, no cross examination), revision of the IPHC script (suggesting subpoena deadlines); Matters under consideration: discovering insurance information, special expungement panels, new options for customer/claimants if a firm or associated person becomes inactive, the efficacy of continuing to allow the use of non-attorney representatives in arbitration. Update: the mandatory use of the portal. As usual, Ms. Bayer will field questions from the audience

This event is free but you must register online or RSVP to
2/11/2019 5:00 PM
14 Vesey St New York 10007

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