Complimentary One-Day Financial Services CLE SuperCourse in NYC

Posted On August 21, 2013
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If you are in the New York area, this is an excellent source of free CLE: Network of Trial Law Firms Financial Services CLE Supercourse

When?  Friday, September 20, when experienced financial services practitioners from across the U.S. and Canada convene in New York City.  Breakfast and lunch at the City Bar Building (44th St. near Sixth Ave.) are included.  Presentations are short (20 minutes each).

Sign-up?  on-line.

Why? I admit it —  I’m speaking (actually, I’m leading a breakout session on “White-Collar Crime.”).

Topics:

  • Litigating against FINRA and the SEC
  • 18 USC 1519: The Changing Face of Obstruction
  • Traditional and Alternative Products: Suitability and Supervisory Issues
  • FINRA Arbitration – Panel Selection
  • Whether Non-Member Registered Investment Advisors (“RIAs”) Should Voluntary Agree to FINRA Arbitration
  • Regulatory Trends for RIAs
  • Federal Preemption of State Securities Law Claims
  • Impact of Canadian Class Actions on the US Capital Market
  • Discovery in FINRA Arbitration
  • Panel: Chief Compliance Officers Under Siege
  • Regulatory and Enforcement Actions Arising from Fiduciary Relationships
  • Continued Erosion of Rule 10b-5
  • Data Breach and Cyber Liability
  • Erosion of Over-Broad Class Actions

 

Breakout Discussion Sections (with coursebook materials) on:

  • Developments in Securities Liability of Attorneys, CPA’s and Other Professionals
  • FINRA Arbitrations
  • White Collar Crime
  • Litigating Customer Disputes

 

Hope to see you there.