This course will increase legal practitioner’s knowledge and competence of prevailing on claims against financial brokers and financial advisors. Attorneys Dennis Stubblefield and Brain Miller provide a comprehensive review of claims brought against brokers and financial advisors under FINRA’s dispute resolution forum. Topics discussed include the right or requirement to arbitrate under FINRA, the pleadings, picking a panel, discovery, motion practice, conferences and hearings, and the award and confirmation proceedings. Mr. Stubblefield is an attorney with over 25 years’ experience, dedicated to the cost effective mediation of securities customer-broker and commercial disputes. Mr. Miller is a noted securities and business trial lawyer and has grown his practice from an emphasis on class action securities and real estate litigation to include the representation of private investors in FINRA securities arbitration proceedings and investors in disputes with insurance companies.
On-Demand