Related Attorney:
Michael Blumenfeld
“Financial Advisors Seminar: Safeguard Your Career”
Click Here to register
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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