Independent Broker Dealer Consortium

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
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

Gary Kessler

Founding partner, Kessler & Collins
Dan_Hetzel2

Daniel A. Hetzel

Partner, Kaufman Dolowich & Voluck
James C. Yong

James C. Yong

Partner, Kaufman Dolowich & Voluck
Chad E. Weaver

Chad E. Weaver

Partner, Freeman, Mathis & Gary
Bryon L. Romine

Bryon L. Romine

Shareholder, Kessler & Collins
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