PAST CONFERENCE PRESENTATIONS

The Rapidly Changing Landscape of DefendingDually Registered Independent Advisors/Broker-Dealers

Recent Regulation BIEnforcement Proceedings

Hot Topics In Defending Alternative Investment Cases

A 360-Degree Due Diligence Perspective

SEC/FINRA Hot Topics

Emerging Markets: Distributed Ledger Technology, Esports, E-gaming,Cannabis and Psychedelics

Should IBDs and RIAs PurchaseD&O Insurance?

SEC’s New RIA Rules

Educational and Technology Capabilities

Cybersecurity Insurance andRegulation

Why Is Arbitrating An Alternative Product Claim Like The Wild, Wild, West?

Current Trends In The Ibd Space – What The Industry Is Seeing And What It Can Expect Moving Forward

IBDC Industry Update & Outlook

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