Who’s Zoomin’ Who? Virtual FINRA Hearings, Mediations and Developments in a Real Life World


Who’s Zoomin’ Who? Virtual FINRA Hearings, Mediations and Developments in a Real Life World

Recorded On 12/02/2020


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?



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


1.5 NY CLE Credits; 1.5 Skills


All Programs include 1 Affirmation and 1 Evaluation Form, and Course Materials.

To receive CLE credit for a program in Online Video Format:

Online Videos contain CLE codes that you must type into a supplied online affirmation form. Submit the online affirmation to the NYCLA CLE Institute to be issued a CLE certificate. We recommend that you watch the video as soon as possible.

We can only issue CLE credit if the law is still current.

Course Materials: You can download course materials on the Online Video webpage.

Upcoming CLE Courses