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Securities Law Luncheon/CLE: Lunch With the Regulators: What Lies Ahead For 2017
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2/23/2017
When: 02/23/2017
12 - 1 PM
Where: Chester H. Ferguson Law Center
1610 N Tampa St.
Tampa, Florida  33602
United States


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1.0 CLE credit (applied for)

Topics covered by Panel Discussion: 

•FINRA 2017 Exam Priorities.
•SEC 2017 Exam Priorities
•Florida OFR Regulatory Priorities for 2017

Moderated By:

Judge Samuel J. Salario, Jr. was appointed to the Second District Court of Appeal on December 23, 2014.  He previously worked in private practice at Holland & Knight, LLP, WilmerHale, and Carlton Fields, where he led the firm’s Securities and Derivative Litigation Practice Group.  He has written and spoken on topics related to securities litigation, and has served as an Advisory Board Member of the Florida Securities Dealers Association.

Panelists:

Michael Freedman is an Assistant General Counsel at Raymond James Financial where he represents the Firm and its associates in connection with securities enforcement matters with the SEC, FINRA, and state regulatory agencies. Prior to joining Raymond James, Michael practiced for 9 and a half years at the law firm Sutherland in Atlanta where he represented broker-dealers and investment advisers in connection with securities enforcement matters.

Kaye Harwood is currently an Examination Manager with the Florida District Office of FINRA, and manages a team of examiners that conduct cycle and branch office examinations.  Prior to becoming an Exam Manager, Kaye served in multiple functions within FINRA, including as an examiner and a Regulatory Coordinator.

Gregory Luers  has been the Director of Florida’s Office of Financial Regulation Division of Securities since July 2016.  He previously served as Vice President of Compliance at  INVEST Financial Corporation in Tampa and Senior Director, Compliance at Nationwide Financial in Columbus, Ohio.