In Your Defense: How and Why a Client Lawsuit Can Happen to You
Prominent local attorneys Brian Levin, Esq., Dimond Kaplan & Rothstein, P.A., and James Sallah, Esq., Sallah & Cox, LLC, will discuss what they look for as they pursue their particular mission as attorneys, and how financial advisors can avoid lawsuits. James Sallah, representing the defense-of-investment advisors, and Brian Levin, representing the plaintiff, will talk about what you can do to avoid lawsuits, and end up in either of their hands. Questions to be discussed may include: What products are most likely to cause problems for financial advisors? How does an advisor know that a lawsuit is happening against him? What is the role of a person's broker/dealer, and when will they know they need their own lawyer? What are the most important steps for advisors to incorporate in their daily practice to reduce the likelihood that a lawsuit occurs? What is the role of the SEC or FINRA? What is the interface with self-regulating/professional organizations? Is there any particular profile of the financial advisor most likely to be sued? Don’t miss this “dynamic duo/duel” and what promises to be a stimulating and exciting presentation. Accepted by CFP Board for 2 hours of CE credit.
AGENDA
5:30 - 6:00 PM - Registration and Networking
6:00 - 8:00 PM - Dinner and Presentation
COST
In Advance - Members: $45; Non-members: $55
At the Door - Members: $55; Non-members: $70
TO REGISTER
- CLICK HERE FOR PDF REGISTRATION FORM
- Fax or mail registration form and credit card payment (Fax: 305-470-7487 / Mail: FPA of Miami-Dade, P.O. Box 560982, Miami, FL 33256-0982)
- Mail registration form and payment by check to FPA of Miami-Dade, P.O. Box 560982, Miami, FL 33256-0982
- Call 786-390-7655 to register by phone with a credit card
- Payment must be received by April 13, 2009, or guaranteed with a credit card. Cancellations received 48 hours prior to the meeting will receive a full refund. No-shows will be invoiced
WHERE
Hurricane 100 Room, University of Miami BankUnited Center, 1245 Dauer Dr., Coral Gables
CLICK HERE FOR PDF DRIVING DIRECTIONS AND PARKING INFORMATION
CE
Accepted by CFP Board for 2 hours of CE credit.
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