DR Section: "FINRA-An Overview for the Practitioner" Out of Stock
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About the Seminar
· Overview of
FINRA and its functions as it relates to customer complaints and industry
complaints.
· The arbitration process including among other things: fact patterns that form the foundation of standard claims that fall within the purview of FINRA
· The
arbitration process
· Compensable
damages theories in FINRA cases and, if time allows the applicable provisions
under the FAA as written and as interpreted to contest arbitration outcomes
About the Speakers:
Marc Seldin Rosen, Esq.
After graduating Emory University with a Bachelor of Arts
degree, Marc earned a Master’s degree from Catholic University. While studying
in Washington, D.C., Marc was honored with an internship in President Carter’s
White House, and he was quickly promoted in its Office of Public Liaison,
working directly for Margaret “Midge” Costanza, the first woman Assistant to
the President. Experiences there, and encouragement from White House staff, led
Marc to law school, also at Emory.
Marc next served as a law clerk for the Honorable Edward S. Northrop, Chief Judge of the United States District Court for the District of Maryland. He then joined Whiteford, Taylor & Preston and became a partner in 6 years. Although he was extremely successful as a “defense” attorney, Marc developed a practice representing plaintiffs, and after being appointed liaison counsel for the victims of a tragic railroad accident in Maryland in which 16 people were killed and more than 100 others were injured, he and his colleagues negotiated what was then the largest recovery in history for victims of this type of occurrence. This experience, in turn, led to his representation of the flight crew that was lost in Pan Am Flight 103, and again he and his colleagues achieved historic recoveries.
Marc opened his own law practice in 1990 and has
recovered hundreds of millions of dollars for his clients in a wide variety of
cases, including medical malpractice, commercial litigation, vehicular
accidents, product liability, premises liability, and securities litigation. He
is known for his preparedness, his ability to recall facts and cross-examine
witnesses, his in depth knowledge of the law, and his ability to communicate
with judges and jurors.
Marc has authored significant publications geared toward
instructing other lawyers in handling difficult cases, including “Trying the
Wrongful Death Case in Maryland: Strategies in Preparation and Valuation,” and
“Insurance Coverage and Claims – Good Faith/Bad Faith.” He guest lectures at
law schools every year on trial tactics and securities arbitration. Marc is a
member of many legal organizations, including PIABA, the Public Investors
Arbitration Bar Association, which is dedicated to the recovery of funds from
brokers and brokerages who mishandle securities investments.
Kristofer Cubello, Esq.
Kristofer is a South Carolina resident and litigation
attorney who focuses his practice on securities cases, medical malpractice, and
personal injury matters, including motor vehicle accidents and premises liability
cases. Kristofer has extensive experience in federal and state courts, as well
as arbitrations before the Financial Industry Regulatory Authority (FINRA). He
is known for his thorough preparation of cases for trial and thoughtful
insights and perspectives on litigation strategies that have proven to be very
successful.
Kristofer has worked alongside Marc Rosen since he was in
his third year of law school at the University of Baltimore. For the past
twenty years, Kristofer and Marc have made a formidable team, recovering many
millions of dollars for individuals and families who have suffered catastrophic
injuries. Kristofer enjoys the challenges brought by the unique features of
each case.
Moderator:
Catherine Wilhoit attended the College of Charleston
where she graduated with a Bachelor of Arts degree in English. She then
attended the Charleston School of Law, earning her degree in 2011. Catherine is
a member of the South Carolina Bar Association and provides litigation support
for a wide variety of the firm’s cases, including those involving personal
injury, premises liability, medical malpractice, premises liability, business
and securities litigation and arbitration, and mass torts. In addition to legal
research, Catherine immerses herself in medical and product related issues,
witness background checks, and the identification and retention of qualified
and experienced expert witnesses.
Catherine is a South Carolina Supreme Court Certified
Arbitrator and Civil Mediator. She
spearheads the arduous process that is required to select arbitrators in
securities cases. Her steady and tenacious approach has helped us arbitrate
complex cases efficiently under the guidelines established by the Financial
Industry Regulatory Authority under which almost all securities disputes are
now resolved.
In addition to the practice of law, Catherine is an
Adjunct Professor of Law at the Charleston School of Law, where she teaches
courses in Alternative Dispute Resolution and Arbitration. She currently serves
on the Board of the Mediation and Meeting Center of Charleston, which provides
mediation services in Charleston, South Carolina. Catherine founded and
operates an alternative dispute resolution based business that teaches conflict
resolution skills to grade school students, and she participates in the South
Carolina judicial system as a Juvenile Arbitrator. In 2017 Catherine was
invited to and became a Member of the James L. Petigru American Inn of Court in
Charleston, an organization of attorneys and judges that sponsors continuing
legal education to lawyers.
Catherine is on the Advisory Board of the Holocaust
Education Film Foundation, which has and continues to document the stories of
survival and perseverance of Holocaust victims, and is a learning partner/teacher
with Engaging Creative Minds – which serves students in Charleston’s public
schools, and she volunteers with Charleston Police Department’s Camp Hope.
She rightfully prides herself on being approachable and
considerate. She is married to Tyler Wilhoit, a Charleston native who is a
Mortgage Executive at Southern First Bank.
Mandatory MCLE Credit Hours
This program qualifies for 1.0 MCLE credit hour.
Note: When submitting your compliance
reports to the SC Commission on CLE and Specialization, if you completed this
in 2023, please use this course code: 232088ADO.
Tags
The South Carolina Bar is an accredited CLE provider in South Carolina only. Attorneys are responsible for seeking their own credit in other jurisdictions.
Disclaimer: The views expressed in CLE programs and publications do not necessarily reflect the opinions of the South Carolina Bar, its sections, or committees. The South Carolina Bar believes that all Bar members have the right to both meaningful learning and to the exchange of ideas in a civil environment. The Bar reserves the right to remove or exclude any person from a Bar event if that person is causing inappropriate disturbance, behaving in a manner inconsistent with accepted standards of decorum, or in any way preventing fellow Bar members from meaningful participation and learning.