transcript   Transcript

Recent and Upcoming Developments in FINRA Arbitration and Mediation

Recorded on: Sep. 26, 2018
Running Time: 01:05:55

Full Transcript:

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Taken from the Web Program Securities Arbitration 2018 Recorded September 2018 in New York

Recent and Upcoming Developments in FINRA Arbitration and Mediation [01:05:55]

• FINRA Update on Dispute Resolution Task Force Recommendations
• Statistics and Trends
• Small Claims Arbitration/Judge Judy
• Reg Notices
• Recruitment

Moderator: Rick Berry
Panelists: Jim Schroder, Barry Lax, Steven B. Caruso, Beverly Jo Slaughter

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • The Financial Industry Regulatory Authority’s Dispute Resolution Activities (Revised July 17, 2018)
Presentation Material
  • Recent and Upcoming Developments in FINRA Arbitration and Mediation
    Richard W. Berry, Steven B. Caruso, Barry R Lax, James Schroder, Beverly Jo Slaughter
  • (s)
    Richard W. Berry ~ Executive Vice President, Director of Dispute Resolution, FINRA Office of Dispute Resolution
    Steven B. Caruso ~ Maddox Hargett & Caruso, P.C.
    Barry R Lax ~ Lax & Neville LLP
    James Schroder ~ Associate Vice President, FINRA Dispute Resolution
    Beverly Jo Slaughter ~ Managing Counsel, Wells Fargo Law Department
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