Please join us for an evening of ballpark food, while enjoying a great game of baseball between the Yankees and LA Angels with wonderful friends and colleagues at 7:00 PM on June 16, 2025. Please click here if you would like to be added to the list. Spaces are limited, so don't delay! Let's play ball!

IBDC-RIAC SPOTLIGHT WEBINAR SERIES PRESENTS:

Is Finra’s And The Sec’s 2021 Exam Priorities A Blueprint For Claimants’ Attorneys?

Date: April 8, 2021
Time: 4:00 pm
Duration: 1 Hour
Where: Zoom Screen From the Comfort and Safety of your home

Powerpoint Presentation Watch Recording

Past Webinar

Join IBDC-RIAC Alliance Members for a frank discussion about what FINRA and the SEC are focusing on during their firm audits and investigations in 2021.

Cybersecurity Risks

OBAs and PSTs - Including PPP loans received by reps/advisors

Communications and Sales - Including emerging digital communication risks

Private Placement Sales

Reg BI Compliance and Form CRS

Variable Annuities Sales Practices

Handling Senior and Compromised Clients

Discussion of Claim Trends

What do firms need to do to protect themselves against litigation and/or regulatory investigations?

SPEAKERS FOR THIS PRESENTATION ARE IBDC-RIAC ALLIANCE MEMBERS:

Gary Kessler

Founding partner, Kessler & Collins

Daniel A. Hetzel

Partner, O’Hagan Meyer

James C. Yong

Partner, O’Hagan Meyer

Chad E. Weaver

Partner, Freeman, Mathis & Gary

Bryon L. Romine

Shareholder, Kessler & Collins