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• What is FINRA?
• The new suits and new litigants arising out of the debt crisis
• A look at the statistics: In 2007, more than 3,000 cases were filed for arbitration and in 2008 nearly 5,000 cases were filed-what does this mean for 2009?
• How FINRA rules work and panel structure variations under FINRA arbitration
• The pros and cons of using FINRA arbitration
• The kinds of cases, claims and clients that benefit from FINRA, and those that don’t
• The perceptions of fairness in FINRA arbitration
Larry Polk serves in the Litigation Practice Group at Sutherland Asbill & Brennan in Atlanta. Over the past 20 years, Mr. Polk has tried numerous cases through award or verdict, and he has defended individuals and firms in dozens of FINRA and NYSE arbitrations throughout the country involving sales practice issues. His experience in regulatory matters includes representing broker-dealers and individuals in enforcement proceedings, advising clients, and performing special compliance audits.
Mr. Polk represents broker-dealers, banks and accountants, and concentrates his practice in the areas of securities litigation, securities arbitration, professional liability litigation, commercial litigation and Securities and Exchange Commission enforcement actions. Mr. Polk has spoken at a number of seminars on securities and sales practice issues, including issues arising from the structured finance and subprime markets. In connection with his securities litigation practice, Mr. Polk represents officers, registered representatives, investment advisors, banks, and broker-dealers in a wide variety of proceedings in state and federal courts and before regulatory organizations such as the New York Stock Exchange (NYSE), the American Stock Exchange, the Financial Industry Regulatory Authority (FINRA) and the Chicago Board Options Exchange. He defends claims arising from transactions in a number of investment vehicles, including stocks, bonds, mutual funds, options, variable products and foreign currencies, as well as claims alleging Internet fraud and RICO violations. Mr. Polk defends banks in actions arising from the sale of debt and equity derivative products. He defends class actions filed against banks, accounting firms, underwriters and corporate officers.
Howard Suskin is a partner in the litigation department at Jenner & Block in Chicago. Mr. Suskin also has substantial experience counseling and representing clients in connection with securities administrative and self-regulatory organization proceedings and in arbitrations. He is active as an arbitrator with the American Arbitration Association, the Chicago Board Options Exchange, the Circuit Court of Cook County, FINRA and the National Futures Association. He is also a mediator with FINRA.
He is a Co-Chair of its Class Action Practice and a member of the Securities Litigation and International Arbitration Practices. He is also a member of the Firm’s Subprime Litigation Task Force and its Tenant-in-Common Workout Task Force. Mr. Suskin is the Editor of the Firm’s Arbitration Update online resource center, which provides regular reports on this legal issue. Mr. Suskin is AV Peer Review Rated, Martindale-Hubbell’s highest peer recognition for ethical standards and legal ability. Mr. Suskin has substantial first-chair experience representing individuals and business entities in civil and criminal securities matters, including securities fraud and misrepresentation claims, derivative actions claiming breach of fiduciary duty, contests for corporate control, insider trading investigations and broker-dealer issues.
Mr. Suskin is an active member of the ABA Securities Law Committee, including serving as co-chair of the Class and Derivative Actions Subcommittee. Mr. Suskin is a former chairman of the CBA’s Class Action Committee, Bench & Bar Committee, Financial & Investment Services Committee and Securities Law Committee. He also served as legislative liaison for the Securities and Financial & Investment Services Committees. Mr. Suskin is an active member of the CBA’s Judicial Evaluation Committee. He has published and spoken extensively on issues relating to class actions and securities law. In addition to Mr. Suskin’s published treatises listed below, he frequently contributes articles to Bloomberg and Thomson West and has contributed articles to other publications including Mealey’s Litigation Report: Class Actions, ABA’s Securities Litigation Journal, Law.com and BNA’s Securities Regulation and Law, among many other publications.