Please join IBDC Alliance member, Michael Schwartzberg, managing partner of Winget, Spadafora, and Schwartzberg, on December 14 as he moderates the deconstruction of securities cases involving senior investors and how FINRA’s rules designed to minimize senior exploitation are playing out. Experts, Miriam Lefkowitz, attorney and compliance and regulatory expert, and Sander Ressler, founder of Essential Edge, a regulatory and legal support service, will offer opposing theories of liability/defense, with insights offered by mediator, Ellen Slipp of ES Mediation Services.
