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SIFMA Compliance and Legal Society Charlotte Regional Seminar

Securities Industry and Financial Markets Association

Sep
28
2015

Date: September 28, 2015

Time: 1:00PM

Location: Charlotte, NC

Pete spoke on Regulatory Enforcement of Broker/Dealer and Investment Advising at the 2015 SIFMA Compliance and Legal Society Charlotte Regional Seminar. 

Speakers

Pete S. Michaels is a Mintz attorney who focuses his practice on securities litigation, regulatory proceedings involving financial service companies and products, and compliance matters. He represents financial services firms and insurance companies and their employees, directors, and officers.