Arbitration of Security Cases

Legal Area:        Securities Regulation Litigation Trial Appellate Mediation ADR
Total Credit Hours:        1.50
Ethics Credit Included:        0.00
Registration Fee:        $35.00
Course Materials:        textaudiovideo
Session END DATE:        10/31/2018

** available any time of day and in time increments convenient to you through end date above **, together with the Houston Bar Association, are pleased to present a special online CLE program designed to address arbitration of investors' cases against brokerage firms or portfolio managers before FINRA (Financial Industry Regulatory Authority). Specific topics include: statutes and case law governing enforcement of arbitration agreements; composition and selection of FINRA arbitration panels; typical claims and defenses in such cases; discovery; motion practice; use of expert witnesses; attorney's fees; and hearing and post-hearing procedures. This seminar will also include "best practice" pointers for presenting a securities case in arbitration. This course features streaming video and audio (as well as downloadable MP3 audio) presentations from a live CLE seminar on this topic that was originally conducted by the Houston Bar Association on September 16, 2016. You can access this presentation on demand at any time during the course of the seminar session.

Some of the subjects for this course include:

    • 10 "Do's" and "Don't's" for Presenting a Securities Case in Arbitration

    • Arbitration Distinguished From Mediation

    • Myth v. Reality: Arbitration Compared to Litigation

    • Types of Arbitration Cases and What Law Governs?

    • Who Serves on FINRA Arbitration Panels?

    • Venue, Scheduling, Discovery, and Motions

    • Expert Witnesses

    • The Award, Expungement, and Possible Judicial post-Award Motions

    The speaker for this course is Mark C. Watler, who is an attorney with the firm of Ross, Banks, May, Cron & Cavin, P.C.  Mr. Watler is Board Certified in Civil Trial Law by the Texas Board of Legal Specialization. He has vast experience in commercial, securities, employment, insurance and fiduciary cases, having handled numerous trials, appeals and arbitrations for corporate, municipal and individual clients, both plaintiffs and defendants. He has represented broker-dealer firm, investors and registered representatives in securities arbitrations and has also served as a neutral on securities arbitration panels. He authored "The Applicability of the Texas Deceptive Trade Practices Act to Securities Cases" (Texas Bar Journal, June 2001, pp. 542-554) and "Arbitration of Securities Cases" (Houston Lawyer, July/ August 2009, pp. 18 - 23). A certified mediator, he has also mediated numerous civil cases, both by attorney selection and court appointment. AV rating by Martindale-Hubbell. An extensive biography for Mr. Watler may be found on his firm's website.


    This course is approved for credit by the MCLE Committees of the STATE BAR OF TEXAS and the STATE BAR OF CALIFORNIA (MCLE Provider #8648).
    These are not self-study credits, but rather 'participatory' credits as you would receive for attending a traditional, live CLE seminar.

    In addition, regular CLE credits for this seminar may also be available in a number of other states through CLE Reciprocity, such as FLORIDA, or as an "Approved Jurisdiction", such as TENNESSEE.  Please check with the Tennessee State Bar for accreditation information.

    If you are new to and you would like to register for this course, please click this link to see some brief instructions on how to 'SIGNUP' as a new user and register for this (or any other) seminar. If you were given a Discount Code for this course, be sure to enter it on the Shopping Cart page once you have added this course to your shopping cart and click the 'Update' button.

    PLEASE REMEMBER-- All of our online CLE courses are covered by our 'Full Satisfaction' guarantee. If for any reason you are dissatisfied with this or any other seminar, we will gladly issue you a prompt refund. Thus, you have nothing to lose in trying one of our convenient online CLE seminars. If you have never participated in an online seminar before, we think you'll be pleasantly surprised!