September 7, 2018

FINRA Arbitrations — A Comprehensive Guide for 2018 and Beyond


Drinker Biddle invites you to join partner Tracey Salmon-Smith for The Knowledge Group’s live webcast “FINRA Arbitrations: A Comprehensive Guide for 2018 and Beyond” on Friday, September 7, 2018.

Registration is complimentary for the first 30 registrants. Once these spots are claimed, additional attendees may register for the discounted rate of $25 each. CLE credit is available.*

Register Now

Date: Friday, September 7, 2018
Time: Noon–2:00 p.m. ET
Location: Webcast

Credit: If CE credit is needed, there is a minimal fee for processing. $50 for CLE, CPE, SHRM and other CE credit processing in all states, except $125 for CLE processing in Virginia, $75 for CLE processing in Montana and South Carolina and HRCI credit processing. Late penalty fees for Illinois, Texas and Washington not included.

In December 2017, the Financial Industry Regulatory Authority (FINRA) issued a proposal that would revamp and strengthen expungement rules. Proposed changes include adjustments to the timeframe for filing expungement requests and the mandated unanimous consent of a FINRA arbitration panel to grant expungements. Brokers, however, are opposed to the changes.

A panel of thought leaders will provide an overview of these proposed changes, as well as updates on where they stand today. The conversation will also cover other significant developments surrounding FINRA arbitrations and best practices for avoiding common pitfalls and risks in the evolving climate of the FINRA forum.

Key topics will include:

  • Best practices
  • The Customer Code and proposed changes
  • Arbitrator selection and discovery
  • Drafting an effective answer
  • Motions to dismiss under Rule 12504
  • Vacating an arbitration award
  • Standards of conduct (DOL Fiduciary vs Regulation Best Interest)
  • FINRA focus on senior investors
  • Securities product and controversy claims
  • Supervision and high-risk brokers
  • Revised sanctions guidelines
  • Unpaid arbitration awards


  • Tracey Salmon-Smith, Partner, Drinker Biddle
  • Debra Jenks, Attorney, Jenks & Harvey LLP
  • Meredith Lees, Partner, Rumberger Kirk & Caldwell
  • Clint Corrie, Partner, Lewis Brisbois Bisgaard & Smith LLP

For more information about this event, please click here.

Questions? Please contact

The Knowledge Group’s Live Webcast

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