WEST PALM BEACH – March 19, 2019 – Tracy L. Gerber, co-managing shareholder in the West Palm Beach office of global law firm Greenberg Traurig, P.A., presented a Mock Securities Arbitration at the Securities Industry Institute (SII) at The Wharton School of the University of Pennsylvania on March 6. Attendees of the program included senior managers, compliance professionals, and risk officers for major financial services firms.
In the presentation, which simulated a real securities arbitration, attendees watched a condensed proceeding based on common investor disputes. Gerber played the role of claimant’s counsel, prosecuting a suitability and failure to supervise claim. After the presentation of the mock case, Gerber helped lead a discussion on best practices for supervisors, risk managers, and financial advisors. The session was one of the highest rated segments at the program and was filled to capacity.
“The mock arbitration provides an interactive, insider’s view of the arbitration process and strategies to prevent disputes that lead to arbitration,” said Gerber, who has tried more than 50 arbitrations to final award during her career and is co-chair of Greenberg Traurig’s Broker Dealer Securities Litigation Practice. “The program is a wonderful opportunity for participants to evaluate the pros and cons of dispute resolution and see, up close and personal, the arbitration process from opening statements to conclusion.”
Gerber regularly defends major Wall Street brokerage firms, registered investment advisers and other financial institutions in a wide variety of employment disputes in arbitration, before administrative agencies, and in state and federal courts nationwide. She has substantial crossover experience in the regulatory and sales practice arena, having handled numerous Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state regulatory inquiries, investigations and enforcement proceedings, as well as customer arbitrations.
The Securities Industry Institute is held each March at The Wharton School of The University of Pennsylvania. SII is a three-consecutive year program with a customized executive curriculum that is redesigned each year to reflect the needs of an ever-changing industry landscape. Upon completion of the program, participants receive a certificate that is recognized among the leading firms in the industry.
About Greenberg Traurig, LLP: Greenberg Traurig, LLP (GT) has more than 2,000 attorneys in 39 offices in the United States, Latin America, Europe, Asia, and the Middle East. GT has been recognized for its philanthropic giving, was named the largest firm in the U.S. by Law360 in 2017, and is among the Top 20 on the 2018 Am Law Global 100. Web: http://www.gtlaw.com Twitter: @GT_Law.