Heather B. Middleton, Counsel, Riker Danzig LLP to Speak at The Knowledge Group’s FINRA Arbitration: Current Issues and Practice Tips for 2022
New York, NY, June 15, 2022 --(PR.com)-- The Knowledge Group, the leading producer of regulatory focused webcasts, has announced today that Heather B. Middleton, Counsel at Riker Danzig LLP will speak at its webcast entitled, “FINRA Arbitration: Current Issues and Practice Tips for 2022.” This event is scheduled on June 14, 2022 from 3:00 PM – 4:00 PM ET.
About Heather B. Middleton
Heather B. Middleton is Counsel in the Securities Litigation, Arbitration, Regulation and Investigations Practice of Riker Danzig LLP. With extensive experience representing broker-dealers and financial advisers in FINRA arbitrations as well as in state and federal court matters, Heather focuses her practice on defending financial services firms and their employees in securities litigation, regulatory investigations, and in enforcement proceedings. She has successfully defended investor and employment claims relating to a broad range of issues, and has handled regulatory matters involving complex issues including order handling, mini flash crash, research practices, electronic blue sheet reporting, insider trading, and more. Additionally, Heather serves her clients in an advisory role in assisting with drafting compliance policies and procedures and in helping firms comply with regulatory requirements. She also performs due diligence on behalf of Authorized Participants and lead market-makers providing seed capital for the launch of new exchange traded funds. Before practicing law, Heather was an analyst on a High-Net-Worth Team in the Private Banking and Investment Group of Merrill Lynch, where she dealt with securities laws, branch operations, portfolio management, trading, securities regulations and client expectations.
About Riker Danzig LLP
Riker Danzig LLP has served the New Jersey business community for over 135 years. Distinguished for its unparalleled representation of financial institutions since the founding of the firm, Riker Danzig has become a preeminent, full-service law firm. In addition to its two New Jersey offices in Morristown and Trenton, the firm has an office in Midtown Manhattan. Named a “Powerhouse Law Firm” by Law360 in 2021, Riker Danzig serves as regional trial counsel and national defense counsel for some of the country's largest corporations in a wide variety of matters, while also representing many family-owned businesses and middle-market companies. The firm provides corporate counseling to numerous financial, commercial, manufacturing and service organizations and has highly-respected practices in trial and appellate litigation, insurance, corporate law, bankruptcy, governmental affairs, labor and employment, environmental law, real estate, tax, and trusts and estates.
Event Summary
The FINRA arbitration landscape has been continuously reshaped with rule changes, changes in applicable law, changes in format, and new litigation trends. Practitioners in the space should keep themselves abreast of the emerging updates. Join experienced securities arbitration practitioners Rebecca A. Beers (RumbergerKirk) and Heather B. Middleton (Riker Danzig) as they provide a comprehensive discussion of the latest developments. Speakers will offer, among other things, practice tips in this ever-changing legal landscape.
Key issues that will be covered in this course are:
FINRA Arbitration: Latest Updates
Exploring the Arbitration-Related FINRA Priorities
Demystifying the Proposed Changes in the Expungement Processes
Effective Litigation Strategies
What Lies Ahead
To know more about this event, please check here: https://knowledgewebcasts.com/know-portfolio/finra-arbitration-2022-cle/
About The Knowledge Group
Founded in November 2006, The Knowledge Group has been at the forefront of providing quality continuing education programs for lawyers, accountants, financial executives, risk and compliance specialists, human resources professionals, technology officers, and business consultants in a wide range of industries.
The Knowledge Group strives to be the best-in-class provider of continuing education by bringing forth relevant content you can’t get anywhere else.
About Heather B. Middleton
Heather B. Middleton is Counsel in the Securities Litigation, Arbitration, Regulation and Investigations Practice of Riker Danzig LLP. With extensive experience representing broker-dealers and financial advisers in FINRA arbitrations as well as in state and federal court matters, Heather focuses her practice on defending financial services firms and their employees in securities litigation, regulatory investigations, and in enforcement proceedings. She has successfully defended investor and employment claims relating to a broad range of issues, and has handled regulatory matters involving complex issues including order handling, mini flash crash, research practices, electronic blue sheet reporting, insider trading, and more. Additionally, Heather serves her clients in an advisory role in assisting with drafting compliance policies and procedures and in helping firms comply with regulatory requirements. She also performs due diligence on behalf of Authorized Participants and lead market-makers providing seed capital for the launch of new exchange traded funds. Before practicing law, Heather was an analyst on a High-Net-Worth Team in the Private Banking and Investment Group of Merrill Lynch, where she dealt with securities laws, branch operations, portfolio management, trading, securities regulations and client expectations.
About Riker Danzig LLP
Riker Danzig LLP has served the New Jersey business community for over 135 years. Distinguished for its unparalleled representation of financial institutions since the founding of the firm, Riker Danzig has become a preeminent, full-service law firm. In addition to its two New Jersey offices in Morristown and Trenton, the firm has an office in Midtown Manhattan. Named a “Powerhouse Law Firm” by Law360 in 2021, Riker Danzig serves as regional trial counsel and national defense counsel for some of the country's largest corporations in a wide variety of matters, while also representing many family-owned businesses and middle-market companies. The firm provides corporate counseling to numerous financial, commercial, manufacturing and service organizations and has highly-respected practices in trial and appellate litigation, insurance, corporate law, bankruptcy, governmental affairs, labor and employment, environmental law, real estate, tax, and trusts and estates.
Event Summary
The FINRA arbitration landscape has been continuously reshaped with rule changes, changes in applicable law, changes in format, and new litigation trends. Practitioners in the space should keep themselves abreast of the emerging updates. Join experienced securities arbitration practitioners Rebecca A. Beers (RumbergerKirk) and Heather B. Middleton (Riker Danzig) as they provide a comprehensive discussion of the latest developments. Speakers will offer, among other things, practice tips in this ever-changing legal landscape.
Key issues that will be covered in this course are:
FINRA Arbitration: Latest Updates
Exploring the Arbitration-Related FINRA Priorities
Demystifying the Proposed Changes in the Expungement Processes
Effective Litigation Strategies
What Lies Ahead
To know more about this event, please check here: https://knowledgewebcasts.com/know-portfolio/finra-arbitration-2022-cle/
About The Knowledge Group
Founded in November 2006, The Knowledge Group has been at the forefront of providing quality continuing education programs for lawyers, accountants, financial executives, risk and compliance specialists, human resources professionals, technology officers, and business consultants in a wide range of industries.
The Knowledge Group strives to be the best-in-class provider of continuing education by bringing forth relevant content you can’t get anywhere else.
Contact
The Knowledge Group
Loren del Fonso
646-844-0200
https://knowledgewebcasts.com/
Loren del Fonso
646-844-0200
https://knowledgewebcasts.com/
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