Trends, Developments and Updates in the Broker-Dealer Regulation: What to Expect in 2019 and Beyond

Broadcast Date: Friday, February 22, 2019 from 12:00 pm to 2:00 pm (ET)
CLE Competence Issues, Substance Abuse, Mental Health Webcast
John Ivan
Debra A. Jenks
Clint A. Corrie
Heather B. Middleton


About Capital Forensics, Inc.

For more than 26 years, CFI has been providing a range of services for financial services industry clients  involving data analyses, compliance and regulatory consulting, and litigation support services, These firms include broker-dealers, banks, insurance companies and RIAs, as well as Fortune 500 companies and legal counsel.  CFI also provides damages analyses and forensic accounting services.

CFI has established a reputation for working closely with clients to achieve a successful resolution of internal and external regulatory reviews, provide detailed compliance consulting and remediation services, expert testimony in arbitrations and Regulatory inquiries, and litigation support. Our experts include former Regulators, Chief Compliance Officers, Senior Legal Counselors, Retail and Institutional Executives, Trust Company Officers and Product Managers and Leaders.


About Jenks & Harvey LLP

Jenks & Harvey LLP is involved in various aspects of securities arbitration and litigation, broker-dealer compliance, regulatory and enforcement defense, registration matters, and representation of registered persons in retail and employment matters.


About Lewis Brisbois

Founded In 1979 by seven lawyers from a premier Los Angeles firm, less than 40 years later, Lewis Brisbois Bisgaard & Smith LLP (Lewis Brisbois), an AMLAW 100 firm,  has grown to more  than 1,200 attorneys in 42 offices in 26 states, and dedicates itself to a high-achieving and diverse law firm culture focused on client service in more than 50 legal practice areas for clients of all sizes in every major industry. Lewis Brisbois has built longstanding relationships with corporate and institutional clients based on our ability to provide comprehensive service on a national scale.


About Murphy & McGonigle

Murphy & McGonigle, founded in 2010, was created based on an innovative law firm model that rigorously controls overhead while providing its attorneys and clients with state-of-the-art technology and litigation support to ensure both world-class service and maximum cost-efficiency.  In the years since the financial crisis, that model has become increasingly attractive for clients in the financial services industry which has driven the rapid growth of the law firm.

For the fifth year in a row, U.S. News & Best Lawyers selected Murphy & McGonigle as a National Tier One Law Firm. This year, we were honored in Securities Regulation, Litigation – Securities, and Corporate Law. Only 25 firms received National Tier One recognition in all three areas with Murphy & McGonigle as the youngest and smallest firm among those 25 listed, by far.

Murphy & McGonigle serves the litigation, enforcement defense, and regulatory counseling needs of clients across the full spectrum of the financial services industry – from national banks, broker-dealers, investment advisers, and hedge funds, to national and international securities markets and exchanges.