The SRO and States Subcommittee of the ABA Securities Litigation Committee is pleased to announce its first program of 2016, "Strategies for Effectively Trying FINRA Disciplinary Cases."

Despite your excellent lawyering skills, FINRA is going to issue charges and the case will not settle. Now what? Don't panic, come hear our discussion concerning best practices in trying disciplinary proceedings. The panel will be comprised of five senior FINRA representatives and a firm Legal/Compliance officer who has served as an industry member on hearing panels:

Joan Caridi, former Managing Director, Credit Suisse
James Nixon, Chief Litigation Counsel, Market Regulation
Jeff Pariser, Chief Litigation Counsel, Enforcement
Andrew Perkins, Chief Hearing Officer
Russ Ryan, Deputy Chief of Enforcement
David Sonnenberg, Hearing Officer

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


Jump to Page