Essentials of Investor Claims

MCLE Credits: 2.0
Ethics Credits Included: 0.0

Wednesday, March 10, 11:00 a.m. - 1:00 p.m. ET
  • Live Webcast
  • Live Telephone
Learn more about Virginia CLE webcast format
Learn more about Virginia CLE telephone format
Tuesday, March 30, 11:00 a.m. - 1:00 p.m. ET
  • Webcast with Live Q&A
  • Telephone with Live Q&A
MCLE Credit: 2.0 (Ethics: 0.0)
Live-Interactive Credit: 2.0 (all dates, all formats) Live Interactive MCLE Credit Symbol
Registration Fee: $159

Information

Why Attend?

  • Review common disputes and claims that arise between individual investors and their financial advisors/firms
  • Examine the process for evaluating and resolving these claims

Virginia CLE® Essentials seminars are designed to get straight to the heart of what you need to know to succeed. These seminars are ideal whether you are a new attorney, a veteran checking in on current best practices, or considering expanding to a new practice area.

This program will discuss and explore the types of disputes and claims that arise out of the relationship between individual investors and their financial advisors/firms, how to evaluate such claims, the legal bases and defenses for such claims, calculating damages for such claims, and how to try a case in the mandatory dispute resolution forum, Financial Industry Regulatory Authority (FINRA) Arbitration. Topics to be covered include:

  • Common disputes that arise between investors and their financial advisors/firms
  • Important factors to consider when evaluating the claim
  • Legal grounds for common claims
  • Common defenses to claims
  • Different means of calculating damages
  • The FINRA arbitration process:
    • Statement of claim, answer, and arbitrator appointment
    • Motions to dismiss
    • Discovery
    • Expert witnesses
    • Mediation and settlement
    • Final hearing and award
    • Expungement
 

Discounts available for Virginia CLE webcast-telephone-live seminars Follow link to learn about the Virginia CLE Online Bundle with savings up to 45% Follow link to learn about coupons for lawyers in First Year in Virginia practice Follow link to learn about discount for New Virginia Lawyers (first 3 years) Follow link to learn about Government Employee discount Follow link to learn about Legal Aid discount

Follow link to learn about coupons for lawyers in First Year in Virginia practice Follow link to learn about coupons for lawyers in First Year in Virginia practice Follow link to learn about Government Employee discount Follow link to learn about Legal Aid discount

Registration Deadlines:
Webcast: 10 minutes prior to seminar. If you register for a webcast the day of the seminar, your e-mail receipt will include a link to launch the seminar and download the materials.
Telephone: Online registration ends at 11:59 p.m. the day preceding the seminar
Call (800) 979-8253 to register up to one hour prior to the seminar

Cancellation Policy: Cancellation/transfer requests will be honored until 5:00 p.m. the day preceding the seminar. You will, however, be charged $40 if you cancel or transfer your registration to a different seminar after the link to the materials has been e-mailed by Virginia CLE.

Full refunds or transfers are available up to two days after a webcast in the unlikely event that you experience technical difficulties.

MCLE Credit Caveat: The MCLE Board measures credits by the time you spend in attendance. If you enter a seminar late or leave it early, or both, you must reflect those adjustments accurately in the credits you report on your credit reporting form. A code will be given at the end of the seminar, which must be written on your MCLE form.


Can't Attend?
E-mail distance_ed@vacle.org to be notified when/if this program is made available as an online or USB seminar.
E-mail publications@vacle.org to be notified when/if this program's seminar materials are made available for sale.

Schedule

COURSE SCHEDULE (March 10) (Eastern Time)

11:00 Essentials of Investor Claims
1:00 Adjourn
  • Q&A will be handled via chat room for Webcast attendees.
  • Q&A will be handled via e-mail for telephone seminar attendees.

COURSE SCHEDULE (March 30) (Eastern Time)

11:00 Essentials of Investor Claims
1:00 Adjourn
  • Q&A will be handled via chat room for Webcast attendees.
  • Q&A will be handled via e-mail for telephone seminar attendees.

Faculty

ABOUT THE SPEAKERS

W. Scott Greco, Greco & Greco, PC / McLean

W. Scott Greco is the managing partner of Greco & Greco, PC in McLean. He has represented investor claimants from Virginia and around the country in FINRA securities arbitrations and courts for over twenty years. After graduating from the University of Virginia in 1991, he received his J.D. from the College of William and Mary, Marshall-Wythe School of Law in 1994, and subsequently has been admitted to practice in Virginia, Maryland, and Washington, DC, as well as numerous federal District and Appeals Courts. Mr. Greco has appeared as a guest lecturer at Georgetown Law School on the topic of FINRA securities arbitrations as well as lectured fellow attorneys in continuing legal education classes. He is the sole Virginia-based member of the Public Investors Advocacy Bar Association, and also serves as a member of the FINRA Dispute Resolution, Inc. Board of Arbitrators.

Robert W. Lowry, RL Consulting Services, Inc. / Leesburg

Robert W. Lowry is the President of RL Consulting Services, Inc. of Leesburg, providing consulting and expert witness services. He has more than 48 years of experience in the securities industry—including 23 years working for the U.S. Securities and Exchange Commission in the Division of Market Regulation. Since 1996, Mr. Lowry has been retained as a consultant and expert witness in over 825 matters ranging from securities arbitrations, state and federal regulatory proceedings, state and federal criminal and civil court proceedings, as well as compliance related audits for broker dealers and investment advisers. When testifying as an expert, Mr. Lowry provides opinions on the federal securities laws and regulations, accounting practices, capital formation, and the customs and practices of the securities industry.

Todd Ratner, Ratner Law / Richmond

Todd Ratner is a partner—along with his wife, Sarah—of Ratner Law in Richmond. He has represented broker-dealers, registered representatives, registered investment advisers, and investment adviser representatives in customer arbitrations, employment disputes, and regulatory matters for more than twenty years. A graduate of Johns Hopkins University and the University of Virginia School of Law, Mr. Ratner clerked for a federal district judge in Atlanta prior to joining one of the premier broker-dealer practices in the southeast. In 2002, he moved to Richmond to accept a position in the legal department of a national broker-dealer, handling customer arbitrations on a first-chair basis. He returned to private practice in 2008, and Sarah joined the practice in 2019. In addition to financial services matters, Ratner Law also represents families in special education disputes and provides employment law services to companies small and large.

Locations, Dates and Fees

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