September 08, 2022

Ethical Considerations as Clients and Brokers Age

Practising Law Institute’s Securities Arbitration 2022

New York, NY


Sandy Grannum again has the privilege of chairing PLI’s Securities Arbitration Program. This year it features FINRA dispute resolution leadership and arbitrators, as well as noted academics and experienced attorneys who represent both customers and industry. The ethical challenges involved as clients and brokers age, and diversity and inclusion and the elimination of bias in the forum will be explored, as well as the latest hot topics and future trends in securities arbitration. CLE credits are available.

Sandy will also be moderating the session on “Ethical Considerations as Clients and Brokers Age.” This panel includes Beverly Jo Slaughter, managing counsel at Wells Fargo; and Jeanette Wingler, associate general counsel at FINRA. They will discuss:

  • Complying with FINRA Rule 4512 on trusted contacts
  • Applying FINRA Rule 2165 to protect against financial exploitation of specified adults
  • What legal claims may exist regarding a diminished broker’s interaction with a client and what defenses may be available?
    • Understanding ABA MRPC 1.14 and ethically representing clients with diminished capacity
    • Complying with ABA MRPC 1.6 regarding restrictions on disclosure of confidential information
    • How litigation is affected when there is an ethics breach


PLI New York
1177 Avenue of the Americas
Entrance on 45th Street
New York, NY 10036

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