Speaking Engagement

The SRO and States Subcommittee of the ABA Securities Litigation Committee is pleased to announce its upcoming program, "A Forum On FINRA Exam Best Practices." The program will feature two senior members of FINRA's exam management team, Scott Gilbert, Senior Exam Director -- Sales Practice and Manuel Rosario, Exam Director -- Risk Oversight and Operational Regulation. Addressing the issues from the industry perspective will be Suzanne Elovic, UBS Americas, Executive Director and Head of Regulatory Inquiries and Exams and Matthew Applebaum, LPL Financial, Vice President and Head of Regulatory Exams and Inquiries. 

Bressler principal, Andrew Sidman, Co-Chair of the SRO Subcommittee, will serve as a co-moderator of the panel. If you would like additional information or would like to attend, please contact us at events@bressler.com.


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