Independent Broker Dealer Consortium

CONFERENCE PRESENTATIONS

(Year : 2018)

IBDC - RIAC - INVESTIGATION

Nelson Mullins
  • James S. Rollins
  • Daniel Newman
  • Scott N. Sherman
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Finra’s New Oba Rule

Potential Benefits and Potential Issues
Winget Spadafora Schwartzberg
  • Derek C. Anderson
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What's All This Fiduciary Talk About

Fiduciary Shield
  • Michael Steffan
  • Eric A. Michaels
  • Stephan Daigle
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From Bice To Reg Bi - Where Are We Going?

WIAND GUERRA KING
  • Dionne Fajardo
  • Wiand Guerra King
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Practical Aspects Of Big And Little Data

in Regulatory Matters and Litigation
Bates Group
  • Jennifer Stout
  • Clay Grumke
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Responding To Subpoenas

Gordon & Rees
  • Kendra S. Canape
  • Audette Paul Morales
  • Tamara A. Seelman
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Ethical Issues For Ethical In-house Counsel

Mound Cotton Wollan & Greengrass LLP
  • Barry Temkin
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Reconciling Sec & Finra

Examinations in Complex Products and Business Practices
MDWCG
  • Samuel E. Cohen
  • John P. Quinn
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