Reg Bi – Have Arbitrations Changed in the Wake of the New Standard of Care
Reg Bi – Have Arbitrations Changed in the Wake of the New Standard of Care
Peter Tepley will join a panel discussion during the PLI Securities Arbitration 2024 Seminar on Thursday, September 12. The discussion will explore whether this new standard of care has changed arbitration in the FINRA forum. After completing this session, participants will understand:
- Arbitration Statistics: Are cases being filed? Are cases being heard?
- Enforcement Overview: FINRA and SEC Enforcement Actions
- Suitability and Reg BI: How are cases (both arbitration and enforcement) handling conduct that span both suitability and Reg BI
- How cases will be pled and defended, focusing on the new elements of Reg BI (consideration of reasonably available alternatives and costs; disclosure; assessment and handling of conflicts of interest)
- What can we learn from FINRA’s 2024 Annual Regulatory Oversight Report?
- What’s next with Reg BI claims?
Panel Leader: Christine Lazaro
Speakers: Hugh D. Berkson, Alicia Goldin, Peter J. Tepley
About the PLI Securities Arbitration 2024 Seminar
The full day of programming features FINRA Dispute Resolution leadership and arbitrators, as well as noted academics and experienced attorneys who represent both customers and the industry. The speakers will provide practical tips for arbitrating and mediating securities cases and discuss ethical challenges involved in the presentation of documents and witnesses during arbitrations. They will explore DEI in the wake of Students for Fair Admissions v. Harvard. Finally, they will look at the latest hot topics and future trends in securities arbitration for 2024.