Bressler, Amery & Ross is proud to sponsor the 2015 Leaders and Experts Forum at the SIFMA Conference Center in New York City on May 28, 2015. The forum is hosted by SIFMA and the Bates Group LLC.

Managing principal Brian Amery, will moderate the panel “SEC and Regulatory Priorities Impacting Wealth Management.”  The panel discussion will begin with an overview of the current regulatory priorities impacting wealth management and litigation. The discussion will continue with field vs. home office supervisory challenges, industry challenges surrounding retirement, elder accounts and fraud prevention. The panel will then address the increased scrutiny of alternative investments, complex products, excessive trading, as well as other important regulatory priorities counsel and industry professionals need to be aware. Finally, the panelists will provide their outlook of the litigation and regulatory challenges impacting financial institutions for the second half of 2015.


Kevin Carroll
Managing Director & Association General Counsel

Todd Cook
Managing Director & Associate General Counsel
JPMorgan Chase & Co.

Anne T. Cooney
Managing Director & General Counsel
Morgan Stanley Wealth Management

Kenneth G. Crowley
Executive Director & Deputy General Counsel
UBS Financial Services Inc.

From the SIFMA website:

In light of the ambitious regulatory and enforcement initiatives announced for 2015, please join our panel of industry leaders and experts as they provide their perspective and outlook for fellow compliance and legal professionals in the second half of 2015.

The half day CLE forum will feature the nation’s leading in-house and outside counsel, senior level SIFMA, SEC and FINRA leaders and experts who will discuss the impact of regulatory initiatives on wealth management litigation, as well as the SEC and FINRA’s Big Data and Analytic programs.

CLE credits available.


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