PAST CONFERENCE PRESENTATIONS

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

Responding To Subpoenas

Minimizing The Detection To Recovery Timeframe

Ethical Issues For Ethical In-house Counsel

Reconciling Sec & Finra

Examinations in Complex Products and Business Practices

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