FINRA's Disciplinary Hearing Process

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About This Course

Hear from FINRA Enforcement counsel, defense counsel, and a hearing panelist as they broaden awareness about FINRA's disciplinary hearing process and highlight distinctions between self-driven hearings and administrative law judge hearings.

This CLE course will discuss:

The differences between FINRA hearings versus hearings by administrative law judges;
The conflicts clearance process for panelists and hearing officers;
The full lifecycle of a case from the pre-complaint phase through the post-hearing phase; and
The mediation and settlement processes.

*This course qualifies as a Transitional course and can be taken by both Experienced and Newly Admitted attorneys in NY.

Lecturers for this Course

Carla Carloni John B. Wells, Esq. Timothy Mountz John Luburic Kent J. Lund

Lecturer Bios

Carla Carloni

Carla Carloni is FINRA’s Deputy Chief Hearing Office and Vice President. Before joining the Office of Hearing Officers in 2014, Carla Carloni served for more than 20 years as legal counsel to FINRA’s National Adjudicatory Council (“NAC”). She advised the NAC in adjudicated matters, including appeals of Hearing Panel decisions, statutory disqualification determinations, membership cases, and exemption requests.

Ms. Carloni also represented FINRA as legal counsel before the SEC and in other appeals. Before joining FINRA, she began her legal career as a law firm associate practicing civil litigation. She attended law school at the College of William and Mary in Virginia and holds a B.A. from Fairfield University in Connecticut. She is admitted to practice law in Virginia.

John B. Wells, Esq.

Attorney John B. Wells is a retired Navy Commander (Surface Warfare) who served from 1972 until 1994. He served on six ships and several shore commands. He is qualified in all aspects of surface warfare including command at sea. He is a graduate of the Surface Warfare Officers School Department Head and PXO schools. Mr. Wells served as a Special-Court Martial convening authority, member, senior member and witness before administrative boards and court-materials. He has administered non-judicial punishment under Art. 15 of the UCMJ.

Mr. Wells attended law school at night while still on active duty. He was a member of the Law Review Staff and contributed to several law school publications. Upon retirement from the military, Mr. Wells settled in Slidell Louisiana and opened a general law practice that included appellate, criminal, civil, juvenile and military law. He represented both juveniles and adults in various criminal courts. Additionally, he represented and defended small and medium sized corporations in the courts of Louisiana and various federal courts. He has also acted as counsel for a successful charter school Mr. Wells has represented military members, civilians and juveniles in both civil and criminal matters and provides free legal counseling to veterans. He is at home in both state and federal courts and travels often to Washington, D.C. for cases there.

Although the practice is based in Slidell Louisiana, located near the military complexes at New Orleans, Gulfport and Biloxi, Mr. Wells will travel throughout the nation. He routinely handles cases in the Washington, D. C. area. Additionally he has represented clients in federal courts and court-martials throughout the United States. As well as military law, Mr. Wells concentrates on civilian criminal law, employment law, federal administrative law, civil rights law, tort law, construction law and contract law. His firm also prepares wills and trusts for individuals and prepares and files corporation documents for small business and non-profit corporations.

Mr. Wells was admitted to practice before the Supreme Court of Pennsylvania in November of 1994, the Supreme Court of Louisiana in October of 1995 and the Court of Appeals for the District of Columbia in April of 1996. His is also admitted to practice before the Supreme Court of the United States.

In addition, Mr. Wells is admitted to the following courts: United States Court of Appeals for the Fifth Circuit; United States Court of Appeals for the Federal Circuit; United States Court of Appeals for the Armed Forces; United States Navy-Marine Corps Court of Criminal Appeals; United States Army Court of Criminal Appeals; United States Air Force Court of Criminal Appeals; United States Court of Appeals for Veteran's Claims; United States Court of Federal Claims; United States District Court for the Western District of Pennsylvania; United States District Court for the Western District of Louisiana; United States District Court for the Eastern District of Louisiana; United States District Court for the District of Columbia; United States District Court for the Northern District of Texas; United States District Court for the Southern District of Texas.

Timothy Mountz

Timothy Mountz is Senior Vice President and Chief Litigation Counsel in FINRA’s Office of General Counsel. Before joining FINRA, he was a partner at Baker Botts LLP with a practice focused on securities and accountants’ liability litigation.

Mr. Mountz is a graduate of Southern Methodist University and Duke University School of Law, and is a member of the State Bar of Texas and the District of Columbia Bar. In 2005, he served as the 95th President of the Dallas Bar Association.

John Luburic

John Luburic is a Senior Litigation Director in FINRA’s Department of Enforcement. For the past five years in this role, John has managed Enforcement staff in their handling of disciplinary matters before the Office of Hearing Officers (OHO), consulted with staff on pre-complaint matters in preparation for litigation, and delivered training to staff on a variety of litigation topics. John has also continued to litigate matters before the OHO while a Director.

Prior to his current role, John spent over five years litigating disciplinary matters before the OHO as a Senior Litigation Counsel in Enforcement. Prior to joining FINRA in 2014, John was a litigation partner in private practice in Chicago. John is a graduate of Loyola University of Chicago School of Law.

Kent J. Lund

Kent J. Lund is interim CEO, Co-Head of Investment Banking and CCO of GVC Capital LLC, a boutique investment banking and securities B/D headquartered in Greenwood Village, CO. He is serving a second term as a member of FINRA’s West Region Committee. Since 1998, Mr. Lund has worked principally in the securities and financial services business, serving in a variety of business, compliance and legal roles. For example, he served previously as a Director, executive officer, CCO and/or General Counsel of: a NYSE member securities clearing firm; a full service B/D, and its affiliated RIAs and trust company; a municipal securities-focused B/D, and its affiliated investment banking firm and RIA; a retail-focused independent contractor-model B/D; and a boutique investment banking firm focused on M&A.

Mr. Lund holds currently or held previously nine securities licenses: Series 7, 9, 10, 14, 24, 53, 63, 66 and 79. Prior to entering the securities business, Mr. Lund clerked for two federal court of appeals judges, worked as an associate attorney in a large private law firm, and worked as an in-house corporate attorney completing U.S. and expatriate assignments for a large multinational corporation. He holds J.D., M.B.A. and LL.M. (in Entrepreneurial Law) degrees. Mr. Lund previously served as a member of the Colorado Securities Board and as an independent Board of Directors member for several public and private companies.

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Accreditation and CLE Rules for New York

FINRA's Disciplinary Hearing Process

About This Course

This CLE course will discuss:

Lecturers for this Course

Spend less and get more

Dedicated CLE Manager

Riveting Content & an Exceptional Library

Free Customized CLE Tracker

Online, Audio CD, DVD, iOS/Android App, USB Stick

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