AM05 - The Interface of FINRA Enforcement Proceedings and FINRA Arbitration Proceedings

10/23/2019 - 1:30pm to 10/23/2019 - 2:30pm
Brazos ABCD

This session will addresss the various manners in which attorneys representing claimants in FINRA arbitration proceedings interact with the FINRA Department of Enforcement and related proceedings.  Presently, there is no guide for the various contexts in which claimants' counsel can anticipate exchanges with FINRA Enforcement, as well as the FINRA Office of General Counsel, including much needed access to investigations, customer complaints, witness statements, enforcement transcripts and exhibits.  The presentation will also consider the extent to which there is any precedential authority to decision involving FINRA Enforcement proceedings, including appeals to the National Adjudicatory Council, the SEC and Federal Court.  We will look forward to a meaningful and vigorous exchange with session participatns designed to focus claimants' counsels' strategies and any number of circumstances where various aspects of FINRA Enforcement proceedings are encountered in FINRA arbitration claims.