On July 27, 2022, the Securities Arbitration Committee of the Commercial and Federal Litigation Section of the New York State Bar Association will put on a free, lunch hour (12:15 PM to 1:30 PM) educational panel to discuss issues unique to the legal representation of employees in the securities industry. The seminar will feature panelists Pearl Zuchlewski and Kirsten Patzer, experienced attorneys who will discuss “An Employee’s Perils: Securities Arbitration in a Regulated World.” The panel will share their experiences in employee representation as it relates to industry rules set forth by the Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC), respectively applying to financial professionals registered with broker dealer and investment advisory institutions.
The lunchtime discussion will focus on differences between representing registered individuals in different forums, whether relating to customer or industry disputes in FINRA Arbitration or the American Arbitration Association (AAA). Discussion will also include common issues relating to registration (e.g., U4/U5 disputes) or other employment disputes, regulatory implications for financial professionals called before the SEC or FINRA (i.e., via subpoena or FINRA 8210 requests), and considerations for when there are civil or criminal penalties at stake. Special attention will be devoted to resulting issues likely to impact a financial professional’s future employment, whether inside or outside the securities industry, as well as a discussion on the latest regulatory trends in this space.
The New York State Bar Association (NYSBA) and its Securities Arbitration Committee regularly hosts seminars and educational panels like this one. The committee is co-chaired by Jenice L. Malecki, Esq., founder and proprietor of Malecki Law, a Manhattan-based securities firm that has provided national legal representation to securities industry professionals before regulators (SEC and FINRA) as well as in customer arbitrations, expungement hearings, and U4/U5 disputes for over twenty-five years. Ms. Malecki has additionally served on FINRA’s National Arbitration and Mediation Committee (NAMC), on the board of the Public Investors Advocate Bar Association (PIABA), and is currently an adjunct professor in the Securities Arbitration Clinic at the New York Law School.
The lunchtime seminar is free and open to lawyers, industry professionals, NYSBA members, as well as the general public. Details are below – we look forward to seeing you there!
Seminar details: “An Employee’s Perils: Securities Arbitration in a Regulated World.”
Date: July 27, 2022
Time: 12:15 PM to 1:30 PM
Location: Virtual (via Zoom)
Click here to join the Zoom meeting (Meeting ID 993 2769 1608) – the passcode is “Security”
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