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.
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