Arbitration of Security Cases - 50% OFF  ** LAST CHANCE

Legal Area:        Securities Regulation Litigation Trial Appellate Mediation ADR
Total Credit Hours:        1.50
Ethics Credit Included:        0.00
Registration Fee:        $20.00
Course Materials:        textaudiovideo
Session END DATE:        10/31/2020
Information:        ONLY $10  Code: SAVE50

** Available on-demand any time of day and in time increments convenient to you through Session End Date above **

This special online CLE program is designed to address arbitration of investors' cases against brokerage firms or portfolio managers before FINRA (Financial Industry Regulatory Authority). Specific topics include: statutes and case law governing enforcement of arbitration agreements; composition and selection of FINRA arbitration panels; typical claims and defenses in such cases; discovery; motion practice; use of expert witnesses; attorney's fees; and hearing and post-hearing procedures. This seminar will also include "best practice" pointers for presenting a securities case in arbitration. This course features streaming video and audio (as well as downloadable MP3 audio) presentations from a live CLE seminar by the Houston Bar Association (HBA) on September 16, 2016.

Some of the subjects for this course include:

    • 10 "Do's" and "Don't's" for Presenting a Securities Case in Arbitration

    • Arbitration Distinguished From Mediation

    • Myth v. Reality: Arbitration Compared to Litigation

    • Types of Arbitration Cases and What Law Governs?

    • Who Serves on FINRA Arbitration Panels?

    • Venue, Scheduling, Discovery, and Motions

    • Expert Witnesses

    • The Award, Expungement, and Possible Judicial post-Award Motions

    Mark C. Watler, an attorney with the firm of Ross, Banks, May, Cron & Cavin, P.C.  Mr. Watler is Board Certified in Civil Trial Law by the Texas Board of Legal Specialization. He has vast experience in commercial, securities, employment, insurance and fiduciary cases, having handled numerous trials, appeals and arbitrations for corporate, municipal and individual clients, both plaintiffs and defendants. He has represented broker-dealer firm, investors and registered representatives in securities arbitrations and has also served as a neutral on securities arbitration panels. He authored "The Applicability of the Texas Deceptive Trade Practices Act to Securities Cases" (Texas Bar Journal, June 2001, pp. 542-554) and "Arbitration of Securities Cases" (Houston Lawyer, July/ August 2009, pp. 18 - 23). A certified mediator, he has also mediated numerous civil cases, both by attorney selection and court appointment. AV rating by Martindale-Hubbell. More information may be found on his firm's website.


    This course is approved for credit by the STATE BAR OF TEXAS (MCLE Provider #8238) and the STATE BAR OF CALIFORNIA (MCLE Provider #8648). In addition, regular CLE credits for this course may also be available in a number of other states through CLE Reciprocity, such as FLORIDA. (PLEASE NOTE: This course DOES include attendance verification for attorneys licensed in states which require it, such as New York & Tennessee). Please check with your State Bar regarding specific accreditation information.

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