Ethics Issues with Remote Hearings and Mediations | FREE to Members
Webinar | July 14, 2020 | 3:30-4:30 PM ET
This panel will discuss the ethical obligations advocates should consider when representing parties and witnesses in virtual hearings and mediations. It will also consider the guidance that FINRA is providing to arbitrators and parties to assist with these obligations.
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Financial Elder Abuse | $95 CLE Credit Available
Webinar | July 28, 2020 | 3:30-4:30 PM ET
The continued aging of our population along with its increasing wealth has only increased the potential for elder fraud and financial abuse. Hear the experts discuss the latest legal developments and opportunities for practitioners to assist this vulnerable population.
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State Regulator Town Hall | FREE to Members
Webinar | August 11, 2020 | 3:30-4:30 PM ET
State regulators will discuss how COVID-19 has impacted state regulation of the securities industry. The panelists will discuss the types of fraud they are now seeing, as well as where they are focusing examination and enforcement efforts.
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Broker Dealer Abusive Practices | $95 CLE Credit Available
Webinar | August 25, 2020 | 3:30-4:30 PM ET
Experienced FINRA arbitration practitioners will share their practical tips and strategies to overcome obstructionist tactics by brokerage firms and help make your cases run more effectively and smoothly.
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