Brian Smiley completed five years of service as a public member of the National Arbitration and Mediation Committee. The 13 members of the NAMC are appointed by FINRA to advise the Board of Directors of FINRA in the drafting of arbitration rules and the recruitment, training, and evaluation of arbitrators. The members of the NAMC are […]
Brian Smiley was on the faculty of the Practicing Law Institute’s Securities Arbitration 2007 program “Arbitrators and Mediators—Winning Their Hearts and Minds” held on August 8, 2007 in New York City. His paper, “Breaking the Nest Egg: Using Traditional Theories to Handle New Cases” appears in the PLI course book.
Brian Smiley spoke before the prestigious Annual Securities Litigation & Regulatory Practice seminar conducted by the ICLE. His topic was, “Arbitration Against Stockbrokers: The Machinist and the Millionaire.” His paper involved claims against investment professionals for failing to adequately diversify client portfolios.
Brian Smiley spoke before a joint training seminar conducted by state securities (NASAA) and insurance regulators (NAIC). Mr. Smiley’s topics included “Insurance and Securities Anticipated Scams” and “What Every Regulator Needs to Know About NASD Arbitration.”
Brian Smiley co-authored an article for FINRA’s official publication for its arbitrators. The article, “Keeping the Arbitration Moving: Enforcing Discovery Deadlines and Legitimate Information Requests” emphasized the importance of arbitrators requiring parties to comply with discovery obligations and schedules. Brian’s co-author was Theodore A. Krebsbach, a well-known defense lawyer.