Webinar
05.27.2020
Our tenth program of the series, Fraud in the Time of Coronavirus: Preventing & Confronting Selling Away & Ponzi Scheme Regulatory Issues & Claims discusses supervisory tips for FINRA members and associated persons, the steps to take when you have notice of a claim, and the arbitrability of such claims.
CLE credits approved in NY, and giving reciprocity credit to NJ, CA, and FL.