Jul 26

Webinar: Pay-to-Play? FINRA says no way

FREE WEBINAR
Pay-to-Play? FINRA says no way
Thursday, August 3, 3:00pm Eastern
Join us for this timely presentation that will provide an overview of FINRA’s new “pay-to-play” and recordkeeping Rules 2030 and 4580 which become effective on August 20, 2017.
Recording available here

Powerpoint here

PRESENTERS:

Travis R. Chapin, Shareholder, Greenberg Traurig, P.A.

Mr. Chapin represents broker-dealers and their employees in all aspects of business, including litigation and arbitration before state and federal trial courts, regulators and self-regulatory agencies. He handles a wide range of matters, including sales practice disputes, expungement requests, employment matters, promissory note collections, regulatory investigations and contract disputes.

Beth A. Black, Shareholder, Greenberg Traurig, P.A.

Ms. Black focuses her practice on a variety of financial services industry litigation and regulatory matters, as well as general commercial litigation. She has represented broker-dealers, commercial banks, investment banks, investment management firms, directors and officers, and public issuers and their management and employees in litigation, investigations and disciplinary proceedings initiated by the SEC, FINRA, FDIC, CBOE and state regulators. She has also conducted internal investigations of publicly traded domestic and foreign companies whose operations are in the United States and China. Additionally, she has represented brokerage firms and their management in various customer-initiated cases, employment cases, and injunction and arbitration proceedings.

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