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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Fundamentals of FINRA Arbitration Series | FREE to Members/$195 for non-members
- Session 1: When the FINRA Forum Applies and Vetting and Accepting Cases
Webinar | September 8, 2020 | 3:30-4:30 PM ET
The panel will provide an introductory overview of the FINRA arbitration forum and process. They will then discuss the steps and considerations of vetting and accepting new cases.
- Session 2: Drafting the Statement of Claim
Webinar | November 10, 2020 | 3:30-4:30 PM ET
The panel will take a deep dive and examine the factors to consider when drafting an effective statement of claim.
- Session 3: Discovery and Motion Practice
Webinar | December 1, 2020 | 3:30-4:30 PM ET
The panel will take a deep dive and examine discovery and both motions to dismiss on the basis of eligibility, as well as discovery motions.
- Session 4: The Hearing
Webinar | January 26, 2021 | 3:30-4:30 PM ET
The panel will take a deep dive into the FINRA hearing process. The panel will cover the hearing process, witnesses, and exhibits.
“Best” and “Worst” Practices in Settlement Agreements and Confidentiality Stipulations, Lessons learned from expungement-only cases that every PIABAn should know | FREE to Members
Webinar | September 22, 2020 | 3:30-4:30 PM ET
This complimentary webinar is being offered in an effort to inform every PIABAn of problematic trends, share practice tips to protect our reputations & our clients, and learn about & discuss how we can better serve our clients to further the mission of investor protection.
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Interested in joining PIABA? Click here for more information