Securities Broker & Their Employers: Discipline, Mediation, Arbitration, and the Role of FINRA and AAA

Securities brokers with responsibilities to investors are subject to disciplinary action by the Financial Industry Regulatory Authority (FINRA). As such, it is important for attorneys to understand how cases are initiated and how they progress at both the FINRA and American Arbitration Association (AAA) so you can advise your clients as effectively as possible.

Labor & employment lawyers, securities lawyers, general practitioners, and business advice/financial planning counsel with intermediate practice experience who attend this online program will learn: the objectives and actions of the FINRA’s compliance program; the ethical and diversity efforts of the FINRA, AAA, mediators, and arbitrators; the roles of mediators and arbitrators; the obligations of participant’s to report bad acts to appropriate agencies for discipline; how to expunge inappropriate reports of bad acts; what to consider when selecting a panel (including their diversity); and much more.

Live Webcast 
Thursday, November 10, 2022
1:30 – 4:00 p.m.

2.50 hours MCLE credit

Learn more and register. 

Posted on October 22, 2022 by Celeste Antoinette Niemann
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