Session Description

Description
SL01 - Ethics: Law Practice Diagnostic Assessment
Nicole Iannarone
Date/Time: 
10/22/2019 - 12:30pm to 10/22/2019 - 1:30pm
Room: 
TBA

In this interactive and engaging ethics update, we will conduct a self-audit to identify best methods and strengthen our law practices.

SL02 - Case Law Round-up for the Securities Arbitration Practitioner
Teresa Verges, Elissa Germaine
Date/Time: 
10/22/2019 - 1:30pm to 10/22/2019 - 2:00pm
Room: 
TBA

Discussion of selected cases in 2019 involving arbitration and related issues commonly found in securities arbitration practice.

SL03 - High Risk Broker Regulation & Enforcement
Scott Eichhorn, Christopher Kelly, Michael Pieciak
Date/Time: 
10/22/2019 - 2:15pm to 10/22/2019 - 3:15pm
Room: 
TBA

Brokers with a history of misconduct are far more likely to harm investors. The firms who employ the most brokers that harm investors remain the same year to year.

SL04 - Broker-Dealer Standards of Conduct
Christine Lazaro, Joseph Borg, Michael Edmiston, Leo Rydzewski
Date/Time: 
10/22/2019 - 3:15pm to 10/22/2019 - 4:30pm
Room: 
TBA

Both the SEC and the DOL have considered what standard should apply to broker-dealer conduct.

SL05 - RIA and Hybrid RIA/BD Regulation: Where Were We, and Where Are We Going?
Darlene Pasieczny, Richard Ryder
Date/Time: 
10/22/2019 - 4:45pm to 10/22/2019 - 6:00pm
Room: 
TBA

FINRA licensed brokers are increasingly migrating to an RIA-only or hybrid RIA/BD dual licensing model.