May 15, 2017

Nuts and Bolts: Securities Arbitration

By Sandra Dawn Grannum and Justin M. Ginter

Florham Park partner Sandy Grannum and associate Justin Ginter authored “Nuts and Bolts: Securities Arbitration” for the New York City Bar Association’s program, “Securities Arbitration and Mediation Hot Topics 2017.” Sandy was also a faculty member for the discussion.

The Financial Industry Regulatory Authority (FINRA) governs many of the broker-dealers in the United States and is responsible for the country’s largest securities dispute resolution forum. Under the agency’s rules, members are required to submit to arbitration, and may be subject to penalty if they fail to do so.

Sandy and Justin examine the ins and outs of securities arbitration within the FINRA arena, from the starting essentials through cross-examination. They also provide valuable insights on interviewing witnesses; managing joint representation and potential conflict issues; identifying and respecting Upjohn warnings; drafting effective pleadings; selecting arbitrators; and responding to the arbitrator’s award.

Read “Nuts and Bolts: Securities Arbitration.”

The Faegre Drinker Biddle & Reath LLP website uses cookies to make your browsing experience as useful as possible. In order to have the full site experience, keep cookies enabled on your web browser. By browsing our site with cookies enabled, you are agreeing to their use. Review Faegre Drinker Biddle & Reath LLP's cookies information for more details.