This session will feature practitioners and expert(s) to discuss various aspects of a FINRA final hearing from both the Claimant and Respondent perspective. The topics that will be covered include:
1. Opening Statement – when is enough;
2. Order of Witnesses – who’s on first;
3. The out of industry broker – to call or not to call;
4. Brokerage firm officers – the proof is in the product; and
5. Closing Statement – coffee is for closers.