The faculty presenting this program covered all aspects of the Financial Industry Regulatory Authority (FINRA) arbitration process, including prehearing matters, motion practice, hearings, and awards, and also provided a detailed guide to FINRA investigations and enforcement actions. Leveraging outcomes from recent cases and investigations, the aim of this presentation was to arm participants with the tools and knowledge needed to effectively litigate for their clients who may find themselves as parties in these types of proceedings.
Publication:
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Related Attorneys:
Daniel H. Tabak
Related Practices:
White Collar Defense and Regulation, Internal Investigations
Office:
New York