Learn to Plan, Plan to Learn: FINRA Arbitration Training

November 5, 2020
NSCP and Fox Rothschild LLP

Many in the financial industry favor arbitration for the certainty it affords as well as the defined obligations, cost savings and streamlined process it provides. But these benefits can be forfeited due to lack of preparation, potentially exposing you and your clients to issues that could have been avoided.

Fox Rothschild’s Securities Industry Practice presents a step-by-step training on preparing for a FINRA arbitration hearing. Fox partners Josh Horn and Oksana Wright will lead a discussion on the following topics:

  • Pre-Arbitration Considerations
    • Selecting an arbitrator
    • Selecting a venue
    • Virtual hearing challenges
    • Pre-hearing conference prep
    • Approaches to discovery depending on type of case
    • Motions prep
  • Arbitration Considerations
    • What is admissible evidence?
    • Use of expert witnesses
  • Post-Arbitration Considerations
    • Responding to post-hearing submission requests and appeals