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FINRA Arbitration, Enforcement, and Compliance Regional CLE Program

Feb 23, 2024

Register now for a regional in-person CLE program focusing on FINRA enforcement initiatives and trends, recent developments and expectations in FINRA arbitration, and a roundtable discussion with in-house counsel and compliance professionals in the broker-dealer space! 

Hosted by the American Bar Association's Securities Litigation Committee and organized by Tino Lisella, of counsel at Carlton Fields and former FINRA enforcement director; Laura Pizzitola, counsel at Bressler, Amery & Ross; and Joseph Simms, senior member at Reminger, this program will comprise of three panels presented by speakers from FINRA, Raymond James, Trade Station, and more. 

Learn more and register.


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