On November 14, 2018 Bressler will host a Senior Bootcamp for Small-Medium Sized New Jersey Firms in the Florham Park, New Jersey office.
The protection of senior investors from financial exploitation continues to be an examination and enforcement priority for the SEC, FINRA, and the New Jersey Bureau of Securities.
Amy Bard, Logan Fisher and Daniel Strashun will discuss the following during the seminar:
- What you need to know about the recently enacted state and federal statutes, and new FINRA Rules, affecting investment advisors and broker-dealers;
- Practices and procedures to adopt to protect yourselves, your clients, and your firm; and
- Suggestions on how to effectively handle and address customer complaints, sales practice cases and regulatory inquiries involving seniors and vulnerable investors.
Please contact us at firstname.lastname@example.org if you would be interested in attending.