SIFMA’S FINRA Disciplinary Hearings Forum

Litigation partner Ben Indek spoke at SIFMA’s 2015 FINRA Disciplinary Hearings Forum on Thursday, February 12, 2015.

SIFMA’s FINRA Disciplinary Hearings Forum is a half-day interactive program that provides valuable insights and practice tips both for lawyers experienced in FINRA proceedings and those new to the forum.

Ben Indek served as co-moderator on a panel titled “The Initiation of FINRA Disciplinary Proceedings.” The panel focused on the role of the Office of Hearing Officers in administering disciplinary proceedings, including the appointment of hearing officers and panelists, the complaint and answer, insights about the pre-hearing conference process, and settlement and mediation options, both pre- and post-complaint.

In addition, Ben co-moderated the panel “Discovery and Pre-Hearing Preparation,” which examined unique features of FINRA practice, the Enforcement Department’s obligations, avenues for defense counsel to obtain additional information, motions practice and how it differs from federal court practice, and the role of expert testimony.

Panelists:

• James Day, VP & Chief Counsel, Department of Enforcement, FINRA
• Susan Light, SVP & Chief Counsel, Department of Enforcement, FINRA
• Jeffrey Pariser, Chief Litigation Counsel, Department of Enforcement, FINRA
• Andrew Perkins, SVP & Chief Hearing Officer, Office of Hearing Officers, FINRA
• David Sonnenberg, Hearing Officer, Office of Hearing Officers, FINRA