Presentations

Misuse of Social Media - 2014

Privacy and Cyber Security - 2014

Mock SEC/FINRA Exams - 2014

AML examinations - 2014

Client Alerts on current developments involving BD’s, IA’s and Funds. - 2014

Compliance and Supervision in the Current Regulatory Environment, Broker-Dealer Investment Adviser Training Program - September 19, 2013

Dodd-Frank Act/Financial Overhaul Reform Act, Impact on Investment Advisers -

Financial Industry Products in a Nutshell, covering Managed Futures, VA’s; Suitability, Alternative Investments and Regulatory Developments affecting VA’s, REIT’s and Private Placements -

The Holy Trinity: Suitability, Supervision and Sales Practices -

Best Practices for Avoiding and Managing Legal Disputes -

AML Requirements Tutorial -

How to Survive SEC, FINRA and State Examinations -

Compliance Issues Posed by LinkedIn, Blogging and Social Networking Sites -

Exploring Compliance, Legal and Regulatory Issues of Collaborative Divorce Process -

Going Independent Workshop, Investment News, Stamford, CT - June 18, 2010

Fiduciary Duty, Conflicts of Interest, Disclosure & Suitability Determinations, FPANJ conference, Woodbridge, New Jersey - March 2010

Navigating the Regulatory Waters, Society for Financial Service Professionals, Phoenix, Arizona - May 2009

New Variable Annuities Rules and Avoiding Client Complaints, Society for Financial Service Professionals, Red Bank, New Jersey - December, 2009

Case Studies in Customer Complaints, Regulatory Matters & Internal Investigations, Market Counsel Member Summit, Princeton, New Jersey - October 2009

Compliance Issues Posed by LinkedIn, Blogging For Broker-Dealers, Schwab - March, 2009

Keys to Managing and Supervising Independent Contractors, Securities Industry Association - Dallas, Texas, 2001

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