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Regulatory and Litigation Issues in a Post COVID-19 World

01:03:00

May 28, 2020 03:30 PM

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Speakers

Jeff Kalinowski
Partner, Bryan Cave Leighton Paisner
Jeff has represented broker-dealers, investment advisers and individual securities industry professionals for more than 35 years. He has tried well in excess of 100 securities industry related jury trials, bench trials and arbitrations in a variety of venues throughout the United States. Jeff also has extensive experience handling complex regulatory matters involving the SEC, FINRA and state regulatory authorities.
Joe Thomas
Director, Litigation Expert, Bates Group
Bates Group director Joseph “Joe” Thomas is a Bates expert with thirty years of securities industry compliance, supervision, operations and administration experience. He has provided quantitative and substantive witness testimony and opinions in over 100 retail securities litigation, arbitration, and court matters. While with Wells Fargo/Wachovia Securities/A.G. Edwards & Sons, as Vice President and Finance Manager/Litigation Auditor, Mr. Thomas was responsible for coordinating and supervising the preparation of financial and damages analysis reports. Prior to Wells Fargo, Mr. Thomas served in leadership roles at Edward Jones Investments for 17 years and acted as firm representative in arbitration hearings. Mr. Thomas also participated in Sales Practice Examinations with the NASD and NYSE on a regular basis.
Clay Grumke
Litigation Expert, Bates Group
Clay Grumke is a Bates Group litigation, regulatory and internal investigations consultant and expert based in St. Louis, MO, having begun his legal career with the St. Louis Circuit Attorney’s Office. Clay joined Bates after 26 years directing legal departments at A.G. Edwards, Wachovia, and Wells Fargo. He has handled hundreds of internal investigations, regulatory and litigation matters. As Assistant General Counsel at Wells Fargo, Clay was responsible for all litigation and regulatory matters for the Wealth and Investment Management Division, which included Wells Fargo Advisors, Trust, and Retirement Services. His team was in charge of regulatory inquiries, investigations and enforcement matters from the SEC, FINRA, OCC, FED, CFTC, and U.S. states and territories.