BCLP hosts 10th annual Regulatory Roundtable
Partners Jeff Kalinowski and Jeff Ziesman are set to host the 10thannual Regulatory Roundtable on Sept. 14 in Minneapolis, Minnesota, after a two-year hiatus due to the COVID-19 pandemic.
Join BCLP for a discussion on a wide range of issues affecting the securities industry, including the 2022 SEC and FINRA Examination Priorities Letters, FinCEN’s priorities and initiatives, recent regulatory enforcement developments and significant industry related litigation.
Jeff Kalinowski concentrates his practice in the area of securities litigation. He focuses on representing broker-dealers in class action litigation, customer litigation and arbitrations, intra-industry disputes and regulatory matters. He has successfully handled numerous jury trials, bench trials and arbitrations in a variety of areas including securities and business litigation, construction, franchise, insurance and real estate.
Jeff Ziesman represents firms in SEC, FINRA and state regulatory examinations, investigations and enforcement proceedings. He also advises investment advisers and broker-dealers on compliance and supervisory issues, and has assisted firms in structuring their compliance programs and written supervisory systems and procedures. Ziesman is a frequent speaker to industry groups on a wide variety of practice-specific regulatory concerns.
This document provides a general summary and is for information/educational purposes only. It is not intended to be comprehensive, nor does it constitute legal advice. Specific legal advice should always be sought before taking or refraining from taking any action.