Current Issues in FINRA Arbitration and Enforcement Program

Securities and Derivative Litigation   |   FINRA Litigation, Enforcement and Investigations   |   February 22, 2019 12:30 - 6:00 p.m.

Carlton Fields
Corporate Center Three at International Plaza
4221 W. Boy Scout Boulevard, Suite 1000
Tampa, FL 33607

Register for the program.

Please join Carlton Fields and the American Bar Association Section of Litigation’s Securities Litigation Committee for the second annual Current Issues in FINRA Arbitration and Enforcement program.
This three-panel program will focus on leading topics of interest to attorneys practicing before the Financial Industry Regulatory Authority.
Moderators and speakers from FINRA, private practice, consulting groups, and other firms will address senior investor concerns from regulatory and litigation viewpoints, cybersecurity and data safeguarding for broker-dealers and investment advisors, and issues in responding to regulatory inquiries and investigations.

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