What is securities and financial litigation?
What are some common issues you see from your clients in this area of the law?
What is FINRA?
What is your description of what FINRA does?
What is the difference between an investment advisor and a broker-dealer? And who governs their activities?
What is FINRA’s Comprehensive Automated Risk Data System (CARDS) Proposal?
What is your advice to broker-dealer clients with regard to FINRA enforcement and compliance?
What are some examples of common complaints customers have for their brokerage firms?
Why are these claims arbitrated instead of litigated?
How does arbitration differ from a court proceeding?
What does the arbitration proceeding look like in this context of the law?
What is the forum of my arbitration proceeding?
What are my chances of being successful in my arbitration against a customer complaint?
What are the hot topics you see coming from the regulators each year?
What is the status of lawmaker efforts to create a uniform fiduciary duty standard for broker-dealers and investment advisors?
What are the areas of concern that regulators such as the North America Securities Administrators Association have flagged for market participants?
What are some of the pitfalls and traps in defending claims brought against broker-dealers and investment advisors where underlying investments have turned out to be Ponzi schemes?
What are some examples of litigation strategies used in financial regulatory cases?
What is your experience in this area of law?
How did you decide to go into the legal profession?
What is the most rewarding aspect of your practice?
Do you practice in other areas of the law?
Talk about Lindquist & Vennum’s practice group in this area