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Securities Arbitration & Mediation Hot Topics 2015

Length: 3 hours 1 minute

Recent rule changes and events in financial marketplaces have brought fundamental changes to securities arbitration and mediation.  A premier faculty of experienced practitioners, including senior representatives from FINRA Dispute Resolution, will examine rule changes, decisions, and future developments. This program delivers practical suggestions and tested advice on prosecuting and defending securities arbitrations and mediations. Interactive audience participation is a key feature of this annual event. A networking luncheon will be held following the program.

Program Chair: Roger M. Deitz, Dispute Resolution

CLE credit: New York: 3.5 professional practice; New Jersey: 3.6 general MCLE; California and Pennsylvania: 3.0 general MCLE


9:00 – 9:10 a.m.                      Introduction

9:10 – 9:30 a.m.                      FINRA Report Current Developments and Rule Proposals
                    Kenneth L. Andrichik & Richard Berry

9:30 – 9:45 a.m.                     Review of NASD/FINRA Arbitration and Mediation
                    Deborah Masucci   

9:45 – 10:05 a.m.                    Transparency
                    George H. Friedman & Deborah Masucci      

10:05 – 10:35 a.m.                  Arbitrators
                    Joseph C. Peiffer & Harry T. Walters

10:35 – 10:45 a.m.                  Break

10:45 – 11:15  a.m.                 Access          
                    George H. Friedman, Joseph C. Peiffer & Harry T. Walters

11:15 – 11:30 a.m.                  Ethics
                    Deborah Masucci                

11:30 – 11:55  a.m.                 Mediation
                    Kenneth L. Andrichik & Roger M. Deitz

11:55 a.m. – 12:15 p.m.         Back to the Future: FINRA Arbitration and Mediation

Original Recording Date: 5/19/2015

Produced By:

New York City Bar Association

Course Materials

  • Securities Arbitration & Mediation Hot Topics 2015
  • Affirmation of Self-Study