Podcast: Practical Tips for FINRA Arbitration

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May 2, 2014

Briggs and Morgan Financial Markets shareholder Julie Firestone and associate Dan Supalla recently published a “Sound Advice” podcast entitled, “Practical Tips for FINRA Arbitration—How to Most Effectively Present Your Case,” to the American Bar Association’s Section of Litigation Sound Advice. The podcast highlights several tips for effectively preparing and presenting cases to FINRA arbitrators, including discovery tips, leveraging the use of experts through the entire arbitration proceeding, and developing compelling legal and equitable themes.

The podcast can be listened in its entirety here.

Firestone represents investment firms, broker-dealers, insurance companies, issuers of securities, registered representatives and insurance agents in class actions, regulatory proceedings and other adversary matters. Firestone also focuses on customer complaints and regulatory compliance, as well as customer disputes in arbitration. Her legal experience includes matters involving securities fraud, breach of contract, common law fraud, RICO, breach of fiduciary duty, suitability, selling away and unauthorized trading.

Supalla has extensive experience in securities litigation and FINRA arbitration. He represents broker-dealers involved in arbitrated and litigated disputes with customers, registered representatives and other broker-dealers. Supalla’s experience includes having primary responsibility for pre-trial proceedings and coordinating discovery in more than 250 arbitrations, state-court litigation, and federal class-action litigation arising out one of the nation’s largest Ponzi schemes.