C&L Society and FSDA St. Petersburg Breakfast

Date

December 01, 2017

Location

St. Petersburg, FL

Hosted by

C&L Society and FSDA

C&L Breakfast Program – Until 12/1/17

  • C&L Society Member Complimentary
  • Non-Member $50

Overview

The SIFMA Compliance & Legal Society and FSDA will host a breakfast in St. Petersburg, Florida on December 1, 2017 at Raymond James Financial, Inc.

Programs

8:00am – 11:30am

Registration Desk Hours

8:00am – 8:25am

Continental Breakfast

8:25am – 8:30am

Participants

Michael Freedman

Speaker

Michael Freedman

Assistant General Counsel, Regulatory

Raymond James Financial, Inc.

8:30am – 8:35am

Participants

Patricia Cowart

Speaker

Patricia Cowart

Special Company Counsel

Wells Fargo

President

FSDA

8:35am – 9:00am

Participants

Liban Jama

Speaker

Liban Jama

Partner/Principal

EY

9:00am – 10:00am

Participants

Ira D. Hammerman, Joseph Brady, Lee Kell, Yvette Panetta

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Panelists

Joseph Brady

Executive Director

NASAA

Lee Kell

Director

Office of Financial Regulation

Yvette Panetta

Deputy District Director

FINRA

10:00am – 10:15am

Networking Break

10:15am – 11:30am

Discussion Topics: Training Supervision New FINRA Rules and State Rules/Expectations Arbitration/Litigation

Discussion Topics:

  • Training
  • Supervision
  • New FINRA Rules and State Rules/Expectations
  • Arbitration/Litigation

Participants

Alex Sabo, Peter B. King, Erin Linehan, Ronald Long, Rob Mascio, David A. Weintraub, P.A.

Moderator

Panelists

Peter B. King

Shareholder

Wiand Guerra King P.A.

Erin Linehan

Head of Dispute Resolution and Senior & At-Risk Investors

Raymond James Financial, Inc.

Ronald Long

Director of Regulatory Affairs and Elder Client Initiatives

Wells Fargo Advisors

Rob Mascio

Manager Senior Helpline

FINRA

David A. Weintraub, P.A.

Co-chair, Abuse, Neglect & Exploitation Committee

Florida Bar’s Elder Law Section

11:30am – 11:30am

Breakfast Adjourns

Venue

Raymond James Financial, Inc.

800 Carillon Parkway
Saint Petersburg, FL 33716

Terms and Conditions

Policy

SIFMA reserves the right to remove, bar, or expel any attendee or guest from the conference for disruptive, disrespectful, or possibly illegal conduct, statements, or actions or for any reason which may tarnish the conference, SIFMA, or its members, in SIFMA’s sole discretion. SIFMA shall not refund any money paid for such attendee or guest to attend the conference, or for any travel expenses incurred to attend the conference.

Substitutions

Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations

Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a processing fee and must be made in writing.