Heather Middleton Speaking on FINRA Arbitration Banner Image

Securities Litigation, Arbitration, Regulation and Investigations

In recent years, federal and state regulation of securities has become more stringent and the amount of cases...

Heather Middleton Speaking on FINRA Arbitration

May 15, 2023

Securities Litigation Counsel Heather B. Middleton will speak on “FINRA Arbitration:  Current Issues and Practice Tips for 2023” on Wednesday, May 17, 2023  from 12:00 – 1:00 PM for a Knowledge Group webcast.  FINRA is pushing for a more transparent arbitration procedure following the controversial ruling by Georgia State Court on the Wells Fargo arbitration award in 2022. Heather, along with Rumberger Kirk securities litigation partner Peter Tepley, will discuss the significant updates and key issues surrounding FINRA arbitration.

Key topics that will be covered in the webinar:

  • FINRA Arbitration: New Proposed Rule Changes
  • Potential Implications
  • Red Flags and Challenges
  • Best Compliance Tips and Practices
  • An Outlook to the FINRA Arbitration Process in 2023

Course fee is waived courtesy of Riker Danzig when registering here. Attendees are eligible for CLE Credit: Areas of Professional Practice. Total Credits: 1.0 CLE.

For more information, please visit the Knowledge Group website or email info@theknowlegegroup.org.

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