1. Employment Issues in Securities Arbitration in the Wake of Epic Systems
Podcast # 6- August 2, 2018

2. Disclaimer
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The views expressed by panelists in this webcast are not necessarily those of Securities Arbitration Commentator, Inc. The Securities Arbitration Commentator, Inc. assumes no responsibility for the content and materials presented by speakers during the webcast.
We are lawyers. So there.

3. Introduction
In a 5-4 decision split along ideological lines, the Supreme Court on May 21 held in Epic Systems Corp. v. Lewis that the Federal Arbitration Act permits employers to use arbitration clauses containing class action waivers, notwithstanding the National Labor Relations Act’s protections of workers’ rights to act collectively. Justice Neil Gorsuch authored the majority Opinion, joined by Justices Alito, Kennedy, and Thomas, and Chief Justice Roberts.
In this fast-paced Podcast, experts and practitioners in the securities dispute resolution field will discuss the current state of securities industry employment arbitration, including what the Epic Systems decision may mean for the financial services sector.

4. Speakers Richard “Rick” Ryder, Esq. Jeffrey Liddle, Esq.
President
Securities Arbitration Commentator
Maplewood, NJ
Jeffrey Liddle, Esq.
Liddle & Robinson, L.L.P.
New York, NY
George H. Friedman, Esq.
George H. Friedman Consulting, LLC
Fordham Law School
Arbitration Resolution Services, Inc.
Teaneck, NJ
Dana N. Pescosolido, Esq.
Pescosolido Mediation and
Consulting LLC
Amelia Island (Jacksonville), FL.
James L. Komie, Esq.
Howard & Howard
Chicago, IL

5. Discussion topics The current securities arbitration landscape
Epic Systems explained
What does Epic Systems mean for class action waivers in securities employment arbitration clauses?
A review of the Schwab case
Does it carry over to employment?
Is the Protocol expiring or evolving?
Where will we be 3 years from now?

6. The current securities arbitration landscape
Expungement
Promissory Note Cases
Statistical Results
Panel Composition
Dynamics of FINRA Rule 13806
The current rules framework
Type of claim often determines panel composition
Statutory Discrimination Claims
Special panel with expertise
Raiding Claims

7. Epic Systems Epic Systems explained
What were the issues
What did the Court hold?
What does Epic Systems mean for class action waivers in securities employment arbitration clauses?
A review of the Schwab case
Does it carry over to employment?
Comparing the Customer and Industry Rules (no 2268 (d) or (f))
One impact already happening - industry move to non-FINRA forums

8. Epic Systems (cont’d) Practice at other forums - compare to FINRA?
RN 16-25: Choice of Forums/FINRA is always a choice
What impact might there be from a Justice Brett Kavanaugh?
Is he pro-arbitration?

9. Is the Protocol expiring or evolving?
Business Changes - Broker Migrations
Is raiding still an issue?
What's changed?

10. The Future: three years from now
Where will FINRA land on waivers?
Who will have more employment cases?
FINRA, AAA, JAMS, or…?
Will the Protocol still exist?
Or will it be different?
Any arbitration issues left for SCOTUS?

11. Conclusion Concluding Remarks Don’t forget to follow us on Twitter:
@SACDispRes (Securities Arbitration Commentator)
@GFriedmanADR (George Friedman )
@jameskomie (James Komie)
Be sure to look for our next podcast

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Podcast # 6
August 2, 2018