FINRA's Disciplinary Hearing Process

SKU: SEC076 Back to Course Listings

New Jersey CLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a New Jersey Accredited CLE Provider. To view our full accreditation details please .

All Courses Available iOS/Android Web

About This Course

This CLE course features perspectives from FINRA Enforcement counsel, defense counsel, and a hearing panelist. The course aims to enhance your understanding of FINRA's disciplinary hearing process, focusing on the key differences between self-regulated hearings and those conducted by administrative law judges.

Topics covered will include:

The distinctions between FINRA hearings and administrative law judge hearings.
The conflicts clearance process for panelists and hearing officers.
The complete lifecycle of a case, from the pre-complaint phase through the post-hearing phase.
The mediation and settlement processes.
Expand your knowledge and gain valuable insights into the procedural nuances and best practices within the FINRA disciplinary framework.

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.

Build a
Bundle

Build the CLE course package you want at discounted prices.

Build your bundle

Quickest • Most Cost Effective

One Stop Bundles

Most popular option for quickly satisfying your CLE.

Deep Bundle Discount

Browse Bundles

Individual Courses

Complete catalog of CLE Courses for quick, targeted, custom CLE satisfaction.

Choose courses

United Makes CLE Easy

One.

Select Course Package

Unlimited CLE

Enables you to fulfill multiple CLE cycles with one purchase.
One-Stop Bundles

Our most popular courses bundled to save you time and money.
Build-A-Bundle

Select the courses that interest you most while taking advantage of our bundle discount.

Two.

Immediate Access to CLE Courses

Courses are available immediately upon checkout. You will have 24/7 access to your purchased courses during the lifetime of your subscription.

Courses can be started, stopped, and paused at any time.

Three.

Instantly Print Your Certificate

You can immediately print your CLE certificate upon completion of a course.

A copy of your certificate will remain in your account and will always be accessible to you.

Create Your Account Now

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize Options

Subscribe for Course Updates and News

Please provide us with your licensed state(s) so we can send you content relevant to you.

Please fix the following errors:

Email:

Admitted State:

Admitted in more than one state?

Bar/Reg/ID #

Leave blank if you don't have one or wish to provide it later

Admitted States:

For even more customized results, please provide your name and phone number (optional).

First Name (optional):

Last Name (optional):

Phone (optional):

We promise to respect your privacy.

You have successfully been added to our mailing list!

Accreditation and CLE Rules for New Jersey

FINRA's Disciplinary Hearing Process

New Jersey CLEAccreditation Info

About This Course

Topics covered will include:

Build a Bundle

One Stop Bundles

Individual Courses

United Makes CLE Easy

One.

Select Course Package

Two.

Immediate Access to CLE Courses

Three.

Instantly Print Your Certificate

Want Different Options?

Subscribe for Course Updates and News

Subscribe for Course Updates and News

Please provide us with your licensed state(s) so we can send you content relevant to you.

Select your admitted states

Use the form below to select the states where you have been admitted to the bar. You may also provide your bar number for each state.

Admitted State:

For even more customized results, please provide your name and phone number (optional).

You have successfully been added to our mailing list!

Chat With a CLE Specialist

Use the form below to send a message to our team of highly-trained CLE Specialists. Or call us at 973-803-4514.

Your message has been sent to our team of CLE Specialists. We will get back to you shortly!

New Jersey CLE
Accreditation Info

Build a
Bundle