Location: 2nd Floor Auditorium
Course ID: C032514
Credits: 4 NJ Credits: 2 Ethics; 2 General
4 NY Credits 2 Ethics; 2 PP; Transitional and Non-transitional
Joseph Borg, Who Investigated the
Self-Proclaimed Wolf of Wall Street to
Introduce the Program via Video
Hear Joseph Borg, Director of the Alabama Securities Commission, who headed a long investigation of Stratton Oakmont and the self-proclaimed Wolf of Wall Street, Jordan Belfort, speak via video conferencing about what the state securities regulators are doing to currently maximize investor protection and meet new challenges.
Then our expert faculty as they discuss other 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 Lawyers, Accountants and Compliance Professionals: The Key Gate Keepers to Maintaining Capital Market Integrity
Introductory Speaker: Joseph Borg, Director, of the Alabama Securitites Commission
Program Chair and Faculty: Norman Arnoff, Esq.
Faculty: Jason Flemmons, FTI Consulting; George Friedman, Fordham Law School; Brian Graifman, Gusrae Kaplan; Paul Immerman, Sherry & O'Neill; Tess Koncick, former SEC staffer, former Merrill Lynch attorney and 40 Act specialist; Don Malawsky, former Regional Administrator, NY Regional Office and former Sr. Counsel at Merrill Lynch; David Robbins, Kaufmann Gildin & Robbins LLP; Knut Rostad, Institute for the Fiduciary Standard; James Rothenberg, former SEC and NYSE staffer, NYSE specialist and noted expert witness; Seth Taube, Baker Botts; Meryl Wiener, Warshaw Burstein, LLP