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Peter Tepley Discusses FINRA Arbitration Hot Topics for 2020

As part of a live webcast presented by The Knowledge Group, Peter Tepley discussed the Financial Industry Regulatory Authority, Inc (FINRA) and the latest rule proposals on December 13. The panel of seasoned professionals reviewed:

  • FINRA Arbitration — Trends and Updated
  • Published Notes
  • New Rules and Proposed Rule Changes
  • Best Practices
  • What Lies Ahead

As part of Tepley’s presentation, he discussed:

  • Increased claims for well managed account damages and other alternative damages theories
  • How Reg. BI may come into play in customer disputes
  • Motions to dismiss under Rule 12206 for lack of eligibility for FINRA arbitration
  • Continued claims and requests for expungement

Learn more or view the webinar. Fees may apply.

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