SAC Securities Arbitration Podcast Whither or Wither FINRA Mediation

This video podcast was moderated by former FINRA Director of Arbitration and current SAC Board of Editors member George H. Friedman, and featured as panelists mediator Roger M. Deitz, Esq., Linda Drucker, Esq., Associate General Counsel, Charles Schwab & Co. Inc., Christine Lazaro, Esq., Securities Clinic Director, St. Johns Law School, and Joe Peiffer, Esq., Partner, Peiffer Roca Wolf Abdullah Carr and Kane, LLC Recorded in late February, the video podcast, complete with a PowerPoint, discusses what the future holds for FINRA’s mediation program. What is the state of securities mediation today? What should FINRA’s mediation program be (unchanged, scaled back, eliminated)? What changes should FINRA make? What do the parties want? Will technology transform securities mediation as we know it? Listeners will hear the panel engage in a spirited discussion of these issues, and get a chance to hear their predictions for the future.

phil korosec (1249 Posts)

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.