AM-09 - Registered Investment Advisers (RIA) Claims

10/12/2018 - 3:00pm to 10/12/2018 - 4:00pm

RIAs trying and  defending a case and a broker-dealer’s supervisory responsibilities: This session will address the contours of bringing and trying a case against a registered investment advisory firm from the claimant and respondent perspective. This session will also address the supervisory structure and a broker-dealer’s liability for supervising RIAs.