The SRO and States Subcommittee of the ABA Securities Litigation Committee is pleased to announce its next program, “Professional Obligations of Lawyers Engaged in Regulatory Examinations and Investigations.”

The program will feature panelists who will discuss the relevant ethical standards, professional responsibilities and best practices for managing potential conflicts of interest encountered by lawyers engaged in the SRO process, from the perspective of FINRA, outside law firms and in-house counsel:

Susan Shroeder, SVP and Deputy Counsel, FINRA
Ilene B. Marquardt, Senior Deputy General Counsel, UBS Financial Services, Inc.
Kevin T. Rover, Partner, Morgan, Lewis & Bockius LLP

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


Jump to Page