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.

Alan Rosca (1180 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


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