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Securities Arbitration 2019
Sandra D. Grannum
Corporate & Securities, Litigation
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Table of Contents
Table of Contents
Chapter 1. FINRA, The Financial Industry Regulatory Authority’s Dispute Resolution Activities (Revised June 19, 2019)
Chapter 2. Practical Recommendations for Encouraging Greater Use of More Diverse Arbitral and Mediation Panels (June 19, 2019)
Chapter 3. Sandra D. Grannum, Tracey Salmon-Smith and Edward J. Scarillo, Vulnerable Investor Protection: Tales from the Broker’s Side (July 3, 2019)
Chapter 4. Ryan K. Bakhtiari, Philip M. Aidikoff and Patrick R. Mahoney, Trends in Preventing Senior Financial Abuse (June 2019)
Chapter 5. Managing the Upward Trend of FINRA Elder Abuse Claims (June 2019)
Chapter 6. James D. Yellen and Edward W. Larkin, Ten Tips for an Effective Securities Mediation, FINRA Neutral, FINRA’s “The Neutral Corner,” Vol. 4 (2018)
Chapter 7. Mediation’s Little Secrets (June 19, 2019)
Chapter 8. Mediation Best Practices: Tips for Optimal Results (PowerPoint slides)
Chapter 9. Technology in Legal Practice: Keeping Ethical Obligations in Mind (June 2019)
Chapter 10. Ethical Issues in Multiple Representation with a Ponzi Scheme Twist (July 3, 2019)
Chapter 11. Jamies L. Helman, Drinker Biddle & Reath LLP, 2019 Arbitration Case Law Update and Hot Topics in the Securities Industry (July 3, 2019)
Chapter 12. Sandra D. Grannum, Brendan P. McHugh and Jennifer G. Chawla, Drinker Biddle & Reath LLP, To Confirm or Not to Confirm? That Is the Question: The Procedures, Standards, and Considerations When Confirming Arbitration Awards in Federal Court, New York, New Jersey, and Pennsylvania (June 19, 2019)
Chapter 13. Jim Lundy, Fred Reish, Sandra D. Grannum and Josh Deringer, Drinker Biddle & Reath, LLP, Client Alert, The Final Reg BI Package: What to Know and What’s Next (June 12, 2019)
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