Limit: 15 Students
This seminar uses the FINRA (Financial Industry Regulatory Authority) securities arbitration process to teach students about alternative dispute resolution generally, the laws governing investment disputes, and advocacy strategies for presenting and defending claims in any adversarial venue. FINRA securities arbitration is the forum where disputes between investors and their brokers and financial advisers are resolved. Robert Banks, a nationally recognized expert in FINRA arbitration, teaches the class. The course will cover all phases of the arbitration process, including client interview techniques, drafting claims and answers, selecting arbitrators, preparing discovery requests, and the arbitration hearing. In lieu of the final class on Monday, April 18, students will participate in a mock arbitration before a three person FINRA arbitration panel on Saturday, April 16, 2016. The arbitration shall serve as the final exam for the course.
Meets Seminar Requirement, WIE
Recommended, but not required:: Securities Regulation