Responding To Broker/Dealer Litigation & Regulatory Enforcement

Monday, May 21, 2007

About

With enforcement actions against broker-dealers on the rise, a new wave of customer claims is sure to follow right behind. Hedge fund, equity-indexed and variable annuity offerings and the misconduct of registered investment advisors have all resulted in numerous claims against broker-dealers. In addition, the regulatory landscape continues to undergo significant change as well. The upcoming merger between the NASD and the NYSE has created many questions about how cases will be prosecuted before a single entity. Furthermore, as SROs step up their enforcement actions, it is more important than ever for broker-dealers to comply with regulations.

American Conference Institute’spublication from the 4th Annual Forum on Responding to Broker/Dealer Litigation & Regulatory Enforcement will provide you with the key strategies you need to protect and defend yourself against the latest claims.

Contents & Contributors

About

With enforcement actions against broker-dealers on the rise, a new wave of customer claims is sure to follow right behind. Hedge fund, equity-indexed and variable annuity offerings and the misconduct of registered investment advisors have all resulted in numerous claims against broker-dealers. In addition, the regulatory landscape continues to undergo significant change as well. The upcoming merger between the NASD and the NYSE has created many questions about how cases will be prosecuted before a single entity. Furthermore, as SROs step up their enforcement actions, it is more important than ever for broker-dealers to comply with regulations.

American Conference Institute’spublication from the 4th Annual Forum on Responding to Broker/Dealer Litigation & Regulatory Enforcement will provide you with the key strategies you need to protect and defend yourself against the latest claims.

Contents & Contributors

REGULATORY DEVELOPMENTS IN THE SECURITIES INDUSTRY: EMERGING
ENFORCEMENT ISSUES AND THE IMPACT OF THE NASD-NYSE MERGER Joseph P. Borg, Alabama Securities Commission; NASAA (Montgomery, AL)

A NEW DAWN IN SECURITIES ARBITRATION
Robert S. Clemente, Esq., Securities Dispute Resolution
(Former NYSE Director of Arbitration) (New York, NY)

SURVEY OF 2006 SEC LITIGATION: MATTERS AFFECTING BROKER/DEALERS
Timothy P. Burke, Bingham McCutchen (Boston, MA)

THE KEY TO GETTING THE ARBITRATION PANEL YOU WANT
Theodore Eppenstein, Eppenstein & Eppenstein (New York, NY)

MINIMIZING THE RISKS OF VARIABLE AND EQUITY-INDEXED ANNUITY OFFERINGS
Mark Quinn, Royal Alliance Associates, Inc. (New York, NY)
Clifford Kirsch, Sutherland Asbill & Brennan LLP (New York, NY)
Frank J. Cuccio, Bressler, Amery & Ross, P.C. (New York, NY)

PRACTICAL CONSIDERATIONS REGARDING BROKER-DEALER SUPERVISION OF VARIABLE ANNUITY SALES
Clifford Kirsch, Sutherland Asbill & Brennan LLP (New York, NY)

CHALLENGING ARBITRATION AWARDS
Tom Kopshever, Wells Fargo Securities LLC (San Francisco, CA)



DOCUMENT TYPES: PRESENTATIONS AVAILABLE: 0