CONFERENCE PRESENTATIONS

Strategies For Addressing New Or Novel Damage Theories

Finra Hot Topics

Is Arbitration Always Better Than Litigation For Brokers

Class Share Regulatory Actions

are still an Issue

Knowing Your Arbitrator:

Understanding how FINRA Arbitrators are Chosen, Trained, and Decide Cases

Cyber Security Challenges Ibds And Rias Face

and how to address them

Regulatory Update

Hidden Data Protection Issues

in Vendor Contracts

Statutory Disqualification

Finding Due Process

D & O Insurance For Broker-Dealers and RIAs

Rogue Brokers

Issues and Strategies for Representing the Firm

Regulation Best Interest