Bressler, Amery & Ross has partnered with the New Jersey State Bar Association Securities Law Special Committee to host a meeting where New Jersey regulators will speak about enforcement priorities and there will be an industry discussion about dealing with an aging investor base. The event will be held Tuesday, November 7, 2017 at Bressler’s office in Florham Park, New Jersey.
5:30pm - 6:00pm: Registration and Reception
6:00pm - 8:00pm: Program
Topics to be discussed include:
- Enforcement priorities and recent cases that may shape enforcement in the future
- Existing/pending federal, state and industry rules regulating senior investors
- Documentation and best practices related to senior investors
Faculty:
Christopher W. Gerold
Chief, New Jersey Bureau of Securities
Joseph J. Sheirer
Director, FINRA District Office 9B
Thomas M. Mierswa, Jr.
Executive Director, Head of Branch Advisory Group, Morgan Stanley
Moderators:
Frank J. Cuccio
Vice Chair NJSBA Securities Special CTTE and Principal, Bressler, Amery & Ross, P.C.
Richard C. Szuch
Principal, Bressler, Amery & Ross, P.C.
For a summary of the event, please click here.