|When: June 2, 2020
Time: 3:30pm ET; 2:30pm CT; 1:30pm MT; 12:30pm PT
Who: Open to all PIABA Members
Please join PIABA for a virtual Town Hall with Rick Berry, Director of FINRA’s Arbitration Services and Manly Ray, Director of FINRA Arbitration’s Southeast Regional Office and the head of FINRA’s Mediation program. PIABA President Sam Edwards will moderate this webinar with Rick and Manly where they will discuss the current status of FINRA arbitration and outlook for FINRA arbitration given the challenges of COVID-19. We will discuss current filing statistics, the results of hearings that have gone forward virtually and a host of other topics important to PIABA membership. As this will be in a Town Hall format, PIABA members will be encouraged to ask questions and get answers to the issues that are important to them. PIABA is equipped to move forward in this new, virtual environment which includes continuing to provide PIABA members with information important to them and their clients and access to the regulators and others who make the policy decisions that impact all of us.
The webinar is open to all PIABA members. This program does not include continuing education credit.
Scheduled for 60 minutes, the webinar will begin at 3:30 pm edt; 2:30 pm cdt; 1:30 pm mdt; 12:30 pm pdt.
Samuel B. Edwards
Shepherd, Smith, Edwards & Kantas, LLP
Richard W. Berry, Executive Vice President and Director of FINRA Dispute Resolution Services
New York City, NY
Manly Ray, Regional Director and Director of Mediation for FINRA Dispute Resolution Services
Boca Raton, FL
|Sam Edwards is an attorney at Shepherd, Smith, Edwards & Kantas, where they focus primarily on representing investors who have been injured. That has included the representation of individual investors, small hedge funds, community banks, pension plans and municipalities, including state governments. Sam received his BA from the University of Texas at Austin and his law degree from the University of Houston Law Center. He began working on investment disputes while still in law school and joined his current firm shortly after graduation. Wanting to become even more specialized in this area of law, Sam made the seemingly insane decision to continue his education, earning an LL.M. from Georgetown University Law Center in 2015 in Securities Law and Financial Regulation. He is a former editor-in-chief of the PIABA Bar Journal, has been on the PIABA Board of Directors since 2013, and a member of PIABA for almost 20 years. Sam is the current President of PIABA.||
Richard W. Berry is Executive Vice President and Director, Office of Dispute Resolution. Prior to serving in this capacity, Mr. Berry was Senior Vice President, Dispute Resolution. In that role, he oversaw the four regional offices—New York, Boca Raton, Chicago and Los Angeles—and the New York Case Administration unit. Mr. Berry joined FINRA, then NASD, in 1995 as head of Dispute Resolution's Los Angeles satellite office. In 2001, he was named Director of Case Administration in the New York City office. Mr. Berry serves as Executive Champion of FINRA’s Toastmasters Clubs. Mr. Berry earned his Certified Regulatory and Compliance Professional™ designation through the FINRA Institute. Prior to joining FINRA, he taught American law for one year in Budapest. Mr. Berry began his career practicing law in San Francisco. He is a graduate of the University of California at Santa Barbara and Hastings College of the Law. Mr. Berry is a member of the California Bar.
|Manly Ray is the Director of Mediation and Southeast Regional Director for FINRA Dispute Resolution Services. He has over 25 years of experience in the securities, legal and business professions, including the past 17 years with FINRA. His FINRA career began with the Office of Hearing Officers in Washington, DC in 1998. At the Office of Hearing Officers, Manly held the position of Chief Case Administrator where he was responsible for managing the Deputy Chief Hearing Officer’s caseload in addition to supervising all Case Administrators. In August 2005, he moved to Boca Raton for a position in FINRA’s Member Regulation Department as a Compliance Specialist. In July 2007, he was promoted to Examination Manager, where he supervised a team of cycle examiners. In May 2010, Manly assumed his current role as the Southeast Regional Director, where he is responsible for the day-to-day operations of the Southeast Regional Dispute Resolution Services office.|