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Securities Arbitration and Mediation

- Location -
Concierge Conference Center
780 Third Avenue (at 48th Street)
New York, NY 10017
(212) 735-0072

Live program is SOLD OUT!

 WEBCAST OPTION AVAILABLE!
The webcast option is MCLE-accredited for all New York Attorneys except those admitted less than 24 months.

7.0 MCLE Credits; 5 Skills, 1 Professional Practice and 1 Ethics

8:30 – 9:00      REGISTRATION

9:00 – 9:10     INTRODUCTIONS

I.                   9:10 – 10:00      FINRA DEVELOPMENTS 

How the all-public panel option is doing. New e-discovery guidelines.  Latest statistics on Awards and settlements. Suggestions for expediting cases. Expungement of arbitration cases from brokers’ records.

Moderator:  David E. Robbins

Panel: Katherine Bayer and Richard Ryder 

II.                10:00 – 10:50     PLEADINGS, DEFENSES AND TAKING THE CASE 

Questions to ask prospective clients on the first telephone call and at the first meeting. Making pleadings user-friendly: How to tell your client’s story so that the arbitrators will listen.  New suitability and fiduciary duty rules and their impact on pleadings. 

Moderator: Jonathan L. Hochman

Panel: Timothy J. O'Connor, Edward Larkin, Andrew Melnick and Ross Intelisano  

10:50 – 11:05  BREAK 

III.              11:05 – 11:55      PANEL SELECTION AND DISCOVERY ISSUES 

Moderator: Brian Amery

Panel: Paul Radvany, Christine Lazaro and Paula Shaffner 

The science in selecting arbitrators – the all public panel option and circumstances when an industry arbitrator may not be a bad selection.  Using the new Discovery Guide to your advantage, supplementing it when necessary and effective motions to compel. 

IV:              11:55 – 12:45      WHETHER AND WHEN TO SETTLE

Bringing back the art of direct settlement discussions. When to mediate, who to select, what to expect from your mediator and how best to prepare yourself and your client for mediation – settling and not winning.

Moderator:  James D. Yellen

Panel: Brian J. Neville, Stephen Younger and Irwin Weltz 

12:45 – 1:45   LUNCH – on your own

 V:            1:45 – 2:45           THE HEARING – PART ONE: OPENING STATEMENTS AND THE EXAMINATION OF WITNESSES

Pre-hearing memos of law. Knowing your audience from the start and speaking to them throughout. How best to present your witness and prepare your witness for cross-examination. Effective cross-examination techniques in securities arbitrations.

Moderator: Ken Crowley

Panel: Regina Martorana, Susan Macfarlane and Daniel J. Tuczinski

 2:45 – 3:00    BREAK

 VI:          3:00 – 3:50          THE HEARING – PART TWO: EXPERTS, DAMAGES AND CLOSINGS

The necessity for experts in certain kinds of cases. How to choose the expert a panel will listen to. How to present experts as witnesses and prepare them for cross-examination. How to cross-examine experts.  Making damage calculations simple to follow. How to challenge them. Closing Statements – a waste of time or an opportunity to sway the undecided arbitrator.

Moderator: Stephen P. Younger

Panel: Charles J. Hecht, John P. Bevilacqua and Seth E. Lipner 

VII:         3:50 – 4:40          ETHICAL ISSSUES IN ARBITRATION AND MEDIATION

The ethics of representing more than one Respondent in a case. Your disclosure requirements to clients and to the panel. Confidentiality agreements in discovery and in settlements. What to do when you learn your client did not tell you all his “skeletons in his closet.” Challenging the ethics of arbitrators. What ethical standards mediators are expected to follow.

Moderator: Barry Temkin

Panel: Michael Stone, Michael Sackheim, Joseph A. Vallo

4:45 CLOSING REMARKS

New this Fall: All program materials will be distributed exclusively online in searchable PDF format, allowing attendees more flexibility in storing this information and allowing you to copy and paste relevant portions of the materials for specific use in your practice.  A CLE NotePad © (paper) will be provided to all attendees at the live program site.  The CLE NotePad © includes lined pages for taking notes on each topic, as well as any PowerPoint presentations submitted prior to printing. Traditional printed course books may be ordered at the program site for a discounted price and will be shipped subsequent to the program date.

Program Co-Chairs: David E. Robbins, Esq., Kaufmann Gildin Robbins & Oppenheim, LLP and James D. Yellen, Esq., Yellen Arbitration and Mediation Services

Program Faculty:

Brian F. Amery, Esq., Bressler, Amery & Ross, P.C. *Katherine M. Bayer, Esq., FINRA Dispute Resolution * John P. Bevilacqua, Esq., Fulbright & Jaworski *Kenneth G. Crowley, Esq., UBS Financial Services, Inc. *Charles J. Hecht, Esq., Wolf Haldenstein Adler Freeman & Herz, LLP *Jonathan L. Hochman, Esq., Schindler Cohen & Hochman, LLP *Ross Intelisano, Esq., Rich Intelisano & Katz, LLP *Edward W. Larkin, Esq., Gibbons P.C. *Christine M. Lazaro, Esq., St. John's University School of Law *Seth E. Lipner, Esq., Deutsch & Lipner *Susan Poder MacFarlane, Esq., Morgan Stanley Smith Barney *Regina P. Martorana, Esq., Bressler, Amery & Ross, P.C. *Andrew J. Melnick, Esq., Schindler Cohen & Hochman, LLP *Brian J. Neville, Esq., Lax & Neville LLP * Timothy J. O'Connor, Esq., The Law Offices of Timothy J. O'Connor *Prof. Paul B. Radvany, Fordham University School of Law *Richard P. Ryder, Esq., Securities Arbitration Commentator, Inc. *Michael S. Sackheim, Esq., Sidley Austin LLP * Michael H. Stone, Esq., Cardozo Law School *Paula Shaffner, Esq., Stradley Ronon Stevens & Young, LLP * Barry R. Temkin, Esq., Mound Cotton Wollah & Greengrass *Daniel J. Tuczinski, Esq., Tuczinski Cavalier Gilchrist & Collura, P.C. *Joseh A. Vallo, Esq., Greenberg Traurig, LLP *Irwin Weltz, Esq., Ellenoff Grossman & Schole, LLP *Stephen P. Younger, Esq., Patterson Belknap Webb & Tyler, LLP

The last day to pre-register online was November 13, 2012.

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