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Securities Law Section Luncheon/CLE: The Ins and Outs of Securities Arbitration and Mediation
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5/2/2016
When: 05/02/2016
12 - 1 PM
Where: Chester H Ferguson Law Center
1610 N Tampa St.
Tampa, Florida  33602
United States


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1.0 CLE credit

Panelists:

Manly Ray, Southeast Regional Director, Financial Industry Regulatory Authority Manly has over 25 years of experience in the securities, legal and business professions, including the past 18 years with FINRA.

Leon M. de Leon, National Mediation Administrator, Financial Industry Regulatory Authority. He has been employed with Financial Industry Regulatory Authority formerly NASD since 1986. Prior to joining FINRA was an institutional investment advisor with regional brokerage firms. While at FINRA has held the positions of Senior Coordinating Analyst, (Corporate Financing Dept., Washington, D.C.), Investigator (Enforcement Dept., Washington, D.C.) and starting 1994 hired as a Staff Attorney specializing in securities arbitration by the Southeast Regional Dispute Resolution Office, Leon subsequently transitioned to National Mediation Administrator for FINRA’s successful voluntary mediation program. FINRA’s Office of Dispute Resolution is the world’s largest provider of securities dispute resolution services.

John P. Cullem, Esq. has been a member of the FINRA, Board of Arbitrators since 1987.  He has served on numerous FINRA arbitration panels and normally in the capacity of chairperson.  He is also a FINRA trainer for new arbitrators and chairpersons.  Mr. Cullem has over 110 publically available arbitration awards.

 

Brian G. Mooney, Esq. has been an arbitrator for FINRA and its predecessors since 1991.  In addition to practicing law and serving as an arbitrator, Mr. Mooney has mediated hundreds of securities cases with a settlement rate of approximately 90%.

Moderator:

Marc L. Abramson, Esq. Marc has personally represented parties and overseen outside counsel in numerous securities arbitration and mediation cases before FINRA Dispute Resolution, as well as in several state and federal court actions, in addition to participating in the defense of enforcement proceedings before various financial services industry regulators.  Marc also has diverse experience in commercial matters including employment-related issues; contract review and negotiation; anti-money laundering laws; and more recently, Cybersecurity.  Marc is the Co-Founder / Co-Chair with Matt Schwartz of the Tampa Bay Securities Compliance Group, and a committee member of the HCBA’s Securities Section.

 

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