Trust established and trust breached. That is at the heart of almost every customer securities arbitration of merit that arbitrators must resolve. With the “forum of equity” being supplanted by the “forum of law,” how do practitioners get arbitrators to look beyond the law to the reality of the relationships between customers and financial advisers? How have FINRA’s cases over the years reflected the different ways in which trust relationships were breached? How has the transition from transactional disputes to fiduciary advisory cases affected the kinds of cases brought? How can attorneys defend elder abuse, affinity fraud cases and other “indefensible” conduct? How can aggressive discovery make or break a case? Ethical issues when customer attorneys solicit potential clients on the Internet and when defense attorneys represent brokerage firms and brokers in the same case?
This year’s program is a “deep dive” into these issues and other issues that are confronting securities arbitration practitioners. When the program’s co-chairs consider the subjects to present, they ask themselves these two questions: Are those the subjects I want to learn about? Are those the speakers I want to hear from on those subjects? This program does a “deep dive” into these questions.