Location: 2nd Floor Auditorium
Course ID: C032514
Credits: 4 NJ Credits: 2 Ethics; 1.5 General
4 NY Credits 2 Ethics; 2 PP; Transitional and Non-transitional
Join our expert faculty as we discuss the key issues regarding investor protection under the Dodd Frank Act.
Panels will include:
Panel 1: Disclosure and Market Regulation
Panel 2: The Fiduciary Duty Standard for Broker-Dealers and Investment Advisers: How to implement The Standards in a Meaningful Way
Panel 3: Securities Arbitration: What does the future hold for mandatory arbitration? Should FINRA parties have the right to appeal, as they can do now at the AAA: When should arbitrators refer matters to FINRA's disciplinary arm?
Panel 4: Professional Responsibility and Discipline for Lawyer and Accountant Gate Keepers
Program Chair and Faculty: Norman Arnoff, Esq.
Faculty: George Friedman, Fordham Law School; Brian Graifman, Gusrae Kaplan; Paul Immerman, Sherry & O'Neill; Tess Koncick; Don Malawsky; David Robbins, Kaufmann Gildin & Robbins LLP; James Rothenberg; Seth Taube, Baker Botts; Meryl Wiener, Warshaw Burstein, LLP; Additional faculty tba