FKSA Hosts NYSBA "Winter 2014 Regulatory Roundtable"

February 26, 2014

FKSA hosted the Winter 2014 Regulatory Roundtable, a discussion of recent developments in securities and commodities regulation, sponsored by the Securities Litigation and Arbitration Committee of the Commercial and Federal Litigation Section of the New York State Bar Association. Panelists included Thomas Teige Carroll, NYAG Deputy Chief for Enforcement and Registration; Jessica Hopper, FINRA Vice President for Regional Enforcement; Michael Osnato, SEC New York Office Assistant Director of Enforcement; Manal Sultan, CFTC Deputy Director of Enforcement and Head of New York Office; and Ilene Marquardt, Head of Litigation and Regulatory, UBS Financial Services Inc. The program was moderated by Andrew Sidman, the head of the financial services industry regulatory defense practice at Bressler, Amery & Ross, P.C.