2012 Securities Symposium

November 7, 2012

Thanks to all those who attended this year's Securities Symposium!  We are grateful to each panel member for their insight into issues faced by the industry.  Materials from the symposium are available below.
Panel I: Dispute Resolution Trends and Issues

  • FINRA Statistics Update
  • Promissory Note Cases
  • Arbitrator/Panel Selection Issues
  • The New Discovery Guide
  • The "In re" Rule

Tim Huskey - Officer
Greensfelder, Hemker & Gale, P.C.

Linda D. Fienberg - President and Chief Hearing Officer
FINRA Dispute Resolution

Dennis J. Capriglione - Associate General Counsel
Edward Jones

James Browning - Deputy General Counsel
Stifel, Nicolaus & Company, Inc.

M. Jane Matoesian - Vice President & Counsel
Benjamin F. Edwards & Co.

Panel Materials
FINRA Dispute Resolution Activities
Panel II: Fiduciary Duties - Is a Change Coming?

  • Where the States Stand
  • SEC and SIFMA Weigh In
  • DOL's Chartered Course
  • DOL Recent Regulations and Enforcement Trends

Wendy S. Menghini - Officer
Greensfelder, Hemker & Gale, P.C.

William Taylor - Counsel for Regulations
U.S. Department of Labor - Plan Benefits Security Division

Chris Lewis - Deputy General Counsel
Edward Jones

Ashleigh Morgan - Senior Counsel
Wells Fargo Law Department

Brian Underwood
Compliance & Regulatory Consulting Services, LLC

Panel Materials
Texas Tech Study
EDNY - September 2012
Fifth Circuit - March 2012
Petersons - CA December
SCT - Georgia February 2010
SDNY - June 2012
SDNY - September 2012

Panel III: Information Security & Technology

  • Data Breach: A View from the Trenches
  • The Cloud is a Series of Tubes
  • Beyond Safe on Paper: Managing Cyber Risk

Zach Hammerman - Officer
Greensfelder, Hemker & Gale, P.C.

R. Scott DeArmey - District Director
FINRA District 4

Andrew Small - General Counsel and Executive Director of Legal and Compliance
Scottrade, Inc.

Dave Chronister - C|EH, CISSP, Managing Partner
Parameter Security

Kay Bradley - Assistant General Counsel
Edward Jones

Panel IV: Regulatory Trends and the Firms' Response

  • Developments in Complex Products
  • Due Diligence Issues
  • Conflicts of Interest Disclosure
  • Internal Investigations

Maureen Sheehan - Senior Counsel
Wells Fargo Law Department

Peter B. Driscoll - Assistant Regional Director
U.S. Securities & Exchange Commission

James Stephens - Senior Regional Counsel
FINRA District 4

Hal Goldsmith - Assistant United States Attorney
Eastern District of Missouri

Jennifer Relien - Chief Legal Officer
Woodbury Financial Services, Inc.