Join us for our next webinar, Time to Pay Up…Not So Fast: Collecting on Financial Advisors’ Promissory Notes and Defending Associated Claims & Counterclaims. Our panelists will discuss terms of promissory notes, FINRA Rules 13806 and 13803, defensive claims/counterclaims, settlement provisions, and collecting awards.

CLE credits approved in NY and PA, and giving reciprocity credit to NJ, CA, and FL.
CLE credits pending in NC and TX.

Practice Areas

Jump to Page