Essentials of Investor Claims (On Demand Seminar)

MCLE Credits: 2.0
Ethics Credits Included: 0.0

MCLE Credit: 2.0 (Ethics: 0.0)
Live-Interactive Credit: 0.0
Price: $149 (Includes a downloadable audio version.)
Viewable Through: 03/31/2024


A pre-recorded streaming video replay of the March 2021 webcast, Essentials of Investor Claims.

Course Outline

  • 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
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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.

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