A Roundtable On Best Practices In Internal Investigations

The SRO and States Subcommittee of the ABA Securities Litigation Committee is pleased to announce its upcoming program, "A Roundtable On Best Practices In Internal Investigations."

The program will feature three heads of broker-dealer internal investigation units, Russ Francisco (Bank of America), Carter Morse (Fidelity) and Dan Rosenbaum (UBS) and, providing a regulatory perspective, FINRA Enforcement Chief Counsel Gina Petrocelli.

Bressler principal, Andrew Sidman, Co-Chair of the SRO Subcommittee, will serve as a co-moderator of the panel.