Field Course: FINRA Arbitration

This course will focus on FINRA Arbitration and mediation. FINRA is the Financial Industry Regulatory Authority. The Self-Regulatory Authority (“SRO”) overseeing broker/dealers and other regulates and related business and trade practices. This course will introduce students to a very particular form of arbitration and a robust area of mediation. The cases brought before FINRA Panels  and mediated by FINRA mediators concern disputes  between  registered financial advisors and their retail and institutional customers. FINRA also administers non-statutory employment disputes within the financial industry. This course will introduce the students to the subject matter as well as to the processes used in this practice area. This is a one semester weekend course. In addition to classroom lecture, there will be exercises and panel discussion with practitioners from this field.