The Practising Law Institute (PLI) held a full day seminar, Securities Arbitration 2023, focused on FINRA arbitrations on Thursday, September 7, 2023 at PLI’s headquarters in New York City. As part of a panel discussion, RumbergerKirk partner Pete Tepley discussed ethical considerations in FINRA arbitrations. The session addressed:

• Ethical considerations in the new world of AI assistance.
• ABA Model Rules for the ethical behavior of counsel and how they apply to the securities arbitration forum.
• Ethical responsibilities including communication, confidentiality, conflicts of interest, responsibilities to the organizational client, clients with diminished capacity, candor to the forum, fairness to opposing counsel.
• ABA Model Rules for the ethical behavior of arbitrators and mediators.
• Ethical responsibilities including impartiality, conflicts of interest, arbitrators appointed by one party, competence, confidentiality, quality of the process, self-determination in cases in which the settlement is discussed, obligations to the ADR process.