Heather B. Middleton, Partner, Murphy & McGonigle to Speak at TKG's FINRA Arbitration

NEW YORK - March 13, 2018 - PRLog -- The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Heather B. Middleton, Partner, Murphy & McGonigle will speak at The Knowledge Group's webcast entitled: "FINRA Arbitration and Enforcement: Current Issues in 2018 and Beyond LIVE Webcast."  This event is scheduled for April 5, 2018 from 3:00pm to 4:30pm (ET).

For further details, please visit:

https://www.theknowledgegroup.org/webcasts/finra-arbitration-and-enforcement-2018

About Heather B. Middleton

Heather Middleton focuses her practice on defending Wall Street brokerage firms and their employees in FINRA arbitrations, civil court matters, regulatory inquiries and government investigations.  Recent cases have included disputes between firms and their employees, customer complaints, trading desk and market access violations, research department issues and a broad range of related sales practice issues.  Prior to practicing law, Ms. Middleton worked at Merrill Lynch for more than 10 years where she gained invaluable experience with trading, portfolio management, various investment vehicles, branch operations and securities regulations.  Heather is admitted to practice in New York and New Jersey.  She handles community service and charitable giving efforts in Murphy & McGonigle's New York office.

AboutMurphy & McGonigle

Murphy & McGonigle, founded in 2010, was created based on an innovative law firm model that rigorously controls overhead while providing its attorneys and clients with state-of-the-art technology and litigation support to ensure both world-class service and maximum cost-efficiency.  In the years since the financial crisis, that model has become increasingly attractive for clients in the financial services industry which has driven the rapid growth of the law firm.

For the fifth year in a row, U.S. News & Best Lawyers selected Murphy & McGonigle as a National Tier One Law Firm. This year, we were honored in Securities Regulation, Litigation – Securities, and Corporate Law. Only 25 firms received National Tier One recognition in all three areas with Murphy & McGonigle as the youngest and smallest firm among those 25 listed, by far.

Murphy & McGonigle serves the litigation, enforcement defense, and regulatory counseling needs of clients across the full spectrum of the financial services industry – from national banks, broker-dealers, investment advisers, and hedge funds, to national and international securities markets and exchanges.

Event Synopsis:

FINRA Rules and the arbitration landscape are constantly changing. FINRA members and practitioners must stay sensitive to the issues and new developments to reduce the chances of surprise awards and enforcement actions.

In a LIVE Webcast, a panel of thought leaders and practitioners assembled by The Knowledge Group will discuss latest and significant issues and developments in FINRA arbitration, as well as current regulatory focus. The speakers will also provide considerations on arbitrator selection, tips for controlling costs in discovery and expert engagement, and discuss compliance issues.

Key topics include:

•          The FINRA Arbitration Process including rule changes, arbitrator selection and expungement

•          Best Practices for Counsel

•          Current regulatory focus on:

o    Commission and fee-based accounts

o    Suitability and fiduciary duty

o    Issues surrounding the elderly and retirement savers

o    Supervision of industry participants with disciplinary disclosures

o    Churning

o    Cybersecurity and duty to protect customer information

About The Knowledge Group/The Knowledge Congress Live Webcast Series

The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register for an event, please visit: http://theknowledgegroup.org/