PAST CONFERENCE PRESENTATIONS

Regulation Best Interest: What to Keep In Mind For Your Best Interest

Claims Involving Life Insurance Impacting Life Agents and Broker Dealers

Recruiting Protocols and Pitfalls

CyberSecurity

Environmental Conservation Easements and Spacs

Finra Hot Topics: A View From the Field

Is Cannabis an Essential Investment Option for Your Clients?

Risk Financing for Independent BDs & IAs

Industry Trends & Best Practices

Alternative Investments

Premium Financing

Update on GPB Litigation

Supervision of Registered Investment Advisors

Cryptocurrency

Litigation Team Collaboration For Maximum Impact

Protecting All Fifty Shades Of Gray

Building A Defensible Arbitration

The Key To A Good Defense

Finra & Sec

Defending The Broker/Dealer

E&o Market Update

Emerging Litigation & Trends

Issues In Supervising

When Finra Comes A Knockin

Conflicts Of Interest

Winning Strategies

Lassoning Jason Bourne

Avoid Paying For Ocean Front Property In Arizona

Senior Investor Regulatory Rules

An Update On The Enforcement

Variable Annuities

Reducing Risk Of Enforcement Actions

Social Media & Digital Communication Trends

The Dol Fiduciary Rule

Insurance – Potential Conflicts

Mediation In Securities Arbitration

Cyber – What You Need To Know

Defending Alternative Products

Digital Communications

Yesterday’s Synergies Are Today’s Conflicts

The Arbitration Toolbox

Abundance & Imbalances

IBDC - RIAC - INVESTIGATION

Seven Ways to Avoid an Anti-Money Laundering Action

Finra’s New Oba Rule

Potential Benefits and Potential Issues

What's All This Fiduciary Talk About

Mutual Fund Due Diligence and the Supervision of Dually Registered Representatives

Firms’ Obligations To Protect Npi When Transitioning Advisors

From Bice To Reg Bi - Where Are We Going?

Practical Aspects Of Big And Little Data

in Regulatory Matters and Litigation