The New York City Bar Association, or just City Bar, hosted, as it does annually, the “Hot Topics in Securities Arbitration” program at its headquarters on May 15, 2018, from 9 AM to 12:30 PM, with a networking lunch thereafter. We liked everything about this year’s program! As in past years, the program’s moderator was […]

As we previewed in SAA 2017-40, the New York State Bar Association’s Dispute Resolution Section hosted a one-hour Webinar, “When Arbitration Goes to New York Courts: Recent Developments in the Recognition and Enforcement of Arbitral Awards,” on November 29th. Panelists Frances Bivens of Davis Polk & Wardwell LLP and Derek Soller of Baker McKenzie, and […]

The seminar, held at the Practising Law Institute in Manhattan on Wednesday, Sept. 27, from 9 a.m. to 5 p.m., included six segments, each featuring a lively discussion by a five-person panel including representatives of FINRA, arbitrators and customer and industry counsel. The seminar, hosted by Sandra D. Grannum, Esq., Drinker Biddle & Reath, included […]

Arguably, one reason arbitration claims are down at FINRA — and have basically declined for the past five years — may be that the disputes are being filed elsewhere. The industry is changing and FINRA appears to be responsive. We hear more and more defense attorneys speak of representing Registered Investment Advisers (RIAs), in addition […]

We keep dipping back into the April 6 program sponsored by the New York State Bar Association, entitled, “Securities Arbitration & Mediation: The Courage to Simplify.” The sessions were rich and provocative, sparking a lot of thought about arbitration’s future. We have summarized parts of the program, including to date the main presentation by FINRA-ODR […]

The New York State Bar Association held its bi-annual program on securities dispute resolution in New York City on April 6, which this year adopted the theme and title, “Securities Arbitration and Mediation 2017: The Courage to Simplify.” Program Co-Chairs were David E. Robbins and James D. Yellen (ed: both of whom, we are proud […]

The annual meeting of the Public Investors Arbitration Bar Association took place between Oct. 18 and 21 in San Diego. Following that event, on October 29, the Alliance for Investor Education (AIE) held its inaugural National Investor Town Hall Meeting (2016), also in San Diego. We spoke with Jason Doss about the Town Hall Meeting. […]

The annual half-day program on securities arbitration and mediation, sponsored by the Association of the Bar of the City of New York, took place earlier this year. With thanks to the staff at the City Bar, we were able to listen to a video webcast of the Program and make some notes about the proceedings. […]

The American Bar Association’s (“ABA”) Dispute Resolution Section and FINRA conducted a Webinar on February 3rd, titled “Utilizing Mediation to Navigate the Perils of Electronic Discovery in Arbitration.” The program featured a heavy emphasis on the FINRA Discovery Guide. The 75-minute event covered e-discovery in general and, in particular, the Guide and how mediation can […]

The current state of registered investment adviser (“RIA”) arbitration, and where things may be headed, were the core topics discussed recently by an experienced panel of securities arbitration experts in the third SAC podcast. The video podcast was moderated by former FINRA Director of Arbitration and current SAC Board of Editors member George H. Friedman, […]