Principals Frank Cuccio and Joel Everest will present at the 2021 PIABA Annual Meeting & Securities Law Seminar.
On Wednesday, October 27, Joel Everest will participate in a session entitled Clarity on Clearing Firm Liability. Panelists will discuss clearing firm liability, when clearing firm liability claims can or should (or shouldn't) be made, standards and duties applicable to clearing firms, how to hold a clearing firm liable for the conduct of registered investment advisors and other professionals trading on the clearing-firm platform, defenses in clearing firm cases, and types of documents and information to look for in clearing firm cases.
On Thursday, October 28, Frank Cuccio will participate in a breakout session entitled How Ya Gettin' Paid: Successor Broker Dealer and Control Person Liability. Panelists will discuss situations when claims arise against broker dealers that have been acquired by another organization or are otherwise defunct, and the responsibilities of financial institutions under the theory of control person liability and other possible avenues for collection.
For more information on the conference or to register, click here.