Dimond Kaplan & Rothstein partner Jeff Kaplan recently participated in a new video conference panel discussing COVID-19's impact on FINRA arbitration and mediation. Richard Berry, Head of Dispute Resolution Services at FINRA, leads the discussion with Jeff, Beverly Jo Slaughter of Wells Fargo Advisors and FINRA arbitrator Renee Gerstman, to address tips on conducting effective Zoom arbitration hearings and more. Watch the panel here: https://bit.ly/2YVBNQE
FINRA Panel Offers Insider Tips
FINRA is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. To protect investors and ensure the market’s integrity, FINRA has launched a new panel series bringing together leaders in the field to discuss industry topics.
The panel COVID-19’s Impact on Arbitration - Practical Tips & What’s New in Arbitration Procedures discusses how COVID-19 challenges are impacting cases, offer tips and resources for conducting effective Zoom virtual arbitration hearings, and has panelist share the latest in arbitration procedures.
Watch the Discussion
About Jeff Kaplan
Jeffrey B. Kaplan is a shareholder in the law firm Dimond Kaplan & Rothstein, P.A. He is an AV-rated lawyer who focuses his practice on securities arbitration and litigation, representing individual and institutional investors in stockbroker misconduct and investment fraud matters, as well as consumer fraud and securities class action litigation.
Mr. Kaplan has routinely been named a “Top Lawyer” by the South Florida Legal Guide, and he was named to Southern California’s Top-Rated Lawyers list in 2014 and 2015 by American Lawyer Media. He currently serves on the FINRA’s National Arbitration and Mediation Committee. He has extensive experience handling FINRA, NYSE, and AAA securities arbitration matters and has recovered millions of dollars on behalf of his clients. He has authored several articles on stockbroker misconduct and he has been invited to speak to investor groups, accountants, and other professionals throughout the country concerning investor protection.
Prior to attending law school, Mr. Kaplan worked at one of the world’s largest brokerage firms, Shearson Lehman Brothers, Inc., developing asset allocation models and investment proposals for high-net-worth individuals. Mr. Kaplan received a Bachelor of Science in Business Administration magna cum laude from Northeastern University and his Juris Doctor cum laude from the University of Miami School of Law.
After law school, but prior to practicing law, Mr. Kaplan worked in the Financial Advisory Services group of the international accounting and consulting firm Coopers & Lybrand, L.L.P. During his employment with Coopers & Lybrand, he investigated financial fraud on behalf of court-appointed fiduciaries and conducted due diligence and prepared pro forma financial statements for mergers and acquisitions.
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DKR represents clients nationwide from offices located in Los Angeles, New York, Detroit, West Palm Beach, Naples and Miami. Virtual appointments and translation services are available.