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FINRA Arbitration and Enforcement: A Legal and Practical Guide

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DESCRIPTION

The faculty presenting this program will cover all aspects of the Financial Industry Regulatory Authority (FINRA) arbitration process, including prehearing matters, motion practice, hearings, and awards, and will also provide a detailed guide to FINRA investigations and enforcement actions.

Leveraging outcomes from recent cases and investigations, the aim of this presentation is to arm participants with the tools and knowledge needed to effectively litigate for their clients who may find themselves as parties in these types of proceedings.

Educational Objectives:
• Gain a sophisticated understanding of the FINRA process
• Learn innate knowledge of common investigative and enforcement actions which can be conveyed to clients as a preventative tool 
• Find out about future implications stemming from recent FINRA investigations
• Discover practical tools that will be effective during party vs. party arbitration hearings

Who would benefit most from attending this program?
Legal Practitioners of all levels with a white collar / internal investigations practice will benefit from this webinar, as it will provide practical tools to successfully litigate FINRA-related matters

SPEAKERS

LAWRENCE T. GRESSER, COHEN & GRESSER LLP

Lawrence Gresser is the Managing Partner of Cohen & Gresser, which he co-founded in 2002. Mr. Gresser's practice focuses on advising clients on complex commercial matters, including international litigation and arbitration, securities law, real estate litigation, partnership and LLC law, executive compensation, and private equity transactions. He serves as outside general counsel to a number of private companies and private equity funds.

Mr. Gresser is a magna cum laude graduate of the University of Michigan Law School, where he received the Order of the Coif and was an Executive Note Editor of the Law Review.  Following graduation, Mr. Gresser served as a Law Clerk to Honorable William C. Canby, Jr. of the United States Court of Appeals for the Ninth Circuit and practiced with Cleary, Gottlieb, Steen & Hamilton.


C. EVAN STEWART, COHEN & GRESSER LLP

Evan Stewart is a partner with Cohen & Gresser. His practice principally focuses on the financial services industry, handling litigation matters for domestic and international clients before federal and state trial and appellate courts, in arbitration forums, as well as before the Judicial Panel on Multidistrict Litigation and the U.S. Supreme Court. He advises clients on a range of complex commercial matters, including antitrust, bankruptcy, class action defense, ethics, intellectual property, internal investigations, securities litigation, and tax controversies.

 

With substantial experience in the financial services industry, Mr. Stewart served twelve years as Executive Vice President and General Counsel for The Nikko Securities Co. International Inc. as well as a director of Nikko Financial Services Inc. Additionally, Mr. Stewart served as First Vice President, Associate General Counsel, and Head of Litigation at E.F. Hutton & Company Inc. Since 2003, Mr. Stewart has been tasked by Goldman, Sachs & Co. to be responsible for, among other things, overseeing and litigating all of the disputes arising out of the company’s Private Wealth Management Division.

 

Recognized as a Super Lawyer since 2009, Mr. Stewart has also been hailed as a "Local Litigation Star" by Benchmark Litigation since 2010. In 2008, he received the Modaq Content Award for writing the most popular article in the United States. Since 1980, Mr. Stewart has been AV(R) Peer Review Rated by Martindale-Hubbell. He is a visiting professor at Cornell University and an adjunct law professor at Fordham Law School. He has been a regularly contributing columnist for the New York Law Journal since 1990 and has published over 200 articles on diverse legal subjects; he is also frequently featured in the national media and regularly speaks across the country on securities, professional responsibility, and complex litigation issues.

 

Mr. Stewart earned a J.D. from Cornell University Law School and a B.A., cum laude, from Cornell University. He is admitted to practice in New York State as well as before the U.S. District Courts for the Southern and Eastern Districts of New York; the U.S. Court of Federal Claims; the U.S. Court of International Trade; the U.S. Court of Appeals for the Second, Third, Fifth, Sixth, Seventh, Ninth, and Tenth Circuits; the U.S. Court of Appeals, District of Columbia Circuit; and the U.S. Supreme Court.

 


DANIEL H. TABAK, PARTNER, COHEN & GRESSER LLP

Daniel Tabak has experience in complex securities litigation, commercial litigation, bankruptcy litigation, intellectual property litigation, regulatory enforcement, and internal investigations.

Mr. Tabak obtained his law degree from Columbia Law School and is admitted to New York State and New Jersey State as well as the U.S. District Courts for the Southern and Eastern Districts of New York and the United States District Court for the District of New Jersey.