Hybrid Advisers: Regulation and Claims Regarding Dual‐Registered Brokers and RIAs
Moderator, Darlene Pasieczny, Samuels Yoelin Kantor LLP; Speakers Jeffery Schaff, Ardor Fiduciary Services, Ltd., and James Wrona, VP and Associate General Counsel, FINRA. This panel will explore issues in regulation and customer dispute resolution when a culpable financial adviser “wears two hats” as both a FINRA‐licensed broker and SEC‐licensed registered investment adviser. When is the brokerage firm responsible for conduct by its dual‐registered associated person? How do FINRA and the SEC parse enforcement issues for these hybrid advisers? The panel will discuss trends in customer arbitration cases, recent case law decisions, compliance and enforcement.
Tuesday, October 9, 2018
Securities Law Seminar at the 27th PIABA Annual Meeting
Bonita Springs, Florida
Darlene Pasieczny’s practice at Samuels Yoelin Kantor LLP focuses on all stages of corporate and securities law issues, securities litigation and FINRA arbitration, as well as fiduciary litigation in trust and estate disputes, and elder financial abuse.