“Financial Advisors Seminar: Safeguard Your Career”

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Financial Advisors: Safeguard Your Career
Complimentary Seminar 

Hosted by attorneys who are recognized leaders in the fields of securities arbitration and regulatory enforcement

Protect Your Future and Know Your Rights

•      Avoid Pitfalls When Transitioning to a New Brokerage Firm
•     Manage Promissory Notes and Transitional Compensation
•     Maintain a Clean Industry Record
•     Expunge Customer Complaints and Other Defamatory Information
•     Respond to FINRA Enforcement Inquiries
•     Communicate Appropriately With Clients

Moderator

Dan Jamieson, Editor at Large at Financial Advisor magazine

Panelists

Michael Blumenfeld, Partner, Chair of Litigation Department

Sylvia Scott, Partner, Former SEC & FINRA Enforcement Attorney

Robert J. Girard II, Partner, Securities & Employment Litigator

Los Angeles
Wednesday, March 4, 2015
3:00-5:00 PM
Beverly Wilshire in Beverly Hills
9500 Wilshire Boulevard

Orange County
Thursday, March 5, 2015
3:00-5:00 PM
Hyatt Regency Newport Beach
1107 Jamboree Road

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