Jenner & Block

Financial Industry Regulatory Authority (FINRA) Disciplinary Hearings, DC Bar

Jenner & Block Partner Larry P. Ellsworth led a panel discussion before the D.C. Bar which included the Chief Hearing Officer, a second Hearing Officer, and a Chief Enforcement Counsel, who discussed the nuts and bolts of appearing in FINRA Disciplinary Hearings, including unique aspects differentiating them from SEC and other administrative proceedings.  In this off-the-record program, the panelists explained the role of hearing officers and industry representatives.  They provided insights into the complaint, answer, and pre-hearing conference process, including possible mediation. They focused on unique discovery features of FINRA proceedings and explored motions practices. They also discussed both the written procedures and the unwritten best practices for success at initial hearing and on appeal.  The program was held on Tuesday, January 19, 2016, from noon to 2 pm at the D.C. Bar Conference Center, 1101 K Street, NW, Washington DC.

Mr. Ellsworth is a partner in the firm's Litigation Department and a member of its Securities Litigation and Enforcement and Class Action Practices.  He is a former assistant chief litigation counsel for the U.S. Securities and Exchange Commission’s Trial Unit.  Mr. Ellsworth is chairman of the DC Bar’s Broker-Dealer Regulation and SEC Enforcement Committee and previously served as Chairman of the DC Bar’s Corporation, Finance and Securities Law Section and of the Administrative Law Section.