Date: October 15, 2015
Location: 16 Beacon Street Boston, MA
- 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
- Broker-dealer In-house Counsel.
- Broker-dealer Outside Counsel
- Registered Representative Individual Counsel
Steve Ganis is a government and private-sector lawyer at Mintz. His practice focuses on federal banking, securities, and derivatives laws, and he's recognized for his knowledge of anti-money laundering (AML) and sanctions regulations. Steve represents financial institutions and executives.