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Life-Cycle of a Securities Sales Practice Dispute

Boston Bar Association

Oct
15
2015

Date: October 15, 2015

Time: 3:00PM

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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Speakers

Professional Cropped Ganis Steve Mintz

Steve Ganis

Speaker

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.