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