PHILADELPHIA — Stradley Ronon hosted a Financial Services Broker-Dealer Workshop on May 30 in the firm’s Philadelphia office. The event is part of an ongoing series discussing current topics of interest relating to broker-dealer activity.
Presenters included managing counsel Katrina Berishaj, co-chair of the fiduciary governance practice; partner Jonathan Bloom, chair of the employment and labor practice; partner Gregory DiMeglio, chair of the securities enforcement practice; Peter Hong, co-chair of the derivatives and commodities practice; senior counsel Frederic Krieger, co-chair of the broker-dealer practice; and partner Larry Stadulis, co-chair of the fiduciary governance and broker-dealer practices.
Topics of discussion included Financial Industry Regulatory Authority (FINRA) exam priorities, the U.S. Department of Labor fiduciary rule, noncompete clauses and “shadow trading” in the case of SEC v. Panuwat.
Stradley Ronon’s broker-dealer practice provides a broad range of legal services to broker-dealers, underwriters, distribution participants and other financial intermediaries. The team counsels clients on issues related to broker-dealer status; formation, registration and membership; securities transfer, clearance and settlement; and regulatory compliance.
About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies — from small businesses to Fortune 500 corporations — achieve their goals by providing pragmatic, value-driven legal counsel. With offices in nine locations, our responsive team of more than 200 lawyers seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.