Life-Cycle of a Securities Sales Practice Dispute

Boston Bar Association

Oct
15
2015

Date: October 15, 2015

Time: 11:00AM - 2:00PM

Location: 16 Beacon Street Boston, MA

Topics

  • Life-Cycle of a Securities Sales Practice Dispute

The CLE will examine customer complaints and securities arbitrations from various perspectives, including:

  • Claimant's Counsel 
  • Branch Supervisor 
  • Broker-Dealer In-House Legal - Regulatory Inquiries & Internal Investigations 
  • FINRA 
  • Broker-dealer In-house Counsel. 
  • Broker-dealer Outside Counsel 
  • Registered Representative Individual Counsel

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Professionals

  • Steve Ganis

    • Speakers

    Steve Ganis

    Steve Ganis

    Speaker

    Steve Ganis, a Member at Mintz, is an investment management and financial services lawyer who regularly advises buyers and sellers of wealth management firms, investment advisers, and broker-dealers on due diligence and regulatory requirements for M&A transactions.