NYCLA’s FINRA Enforcement 2014: Managing FINRA Investigations & Enforcement Proceedings

October 30, 2014
06:00 PM - 08:30 PM

Please join Litigation partner Amy Greer as she moderates the first panel of NYCLA’s FINRA Enforcement 2014.

NYCLA’s Securities & Exchanges Committee and enforcement attorneys will dive into the nuts and bolts of FINRA investigations and enforcement proceedings. Learn about the process, procedures, and substantive aspects of managing FINRA enforcement investigations, hearings, and appeals.

Thursday, October 30, 2014
6:00 PM–8:30 PM

New York County Lawyers’ Association
14 Vesey Street
New York, NY 10007