Wealth Management Society of NW Ohio
November 2017 meeting
“Recent Developments in Regulatory and Enforcement Priorities for the Trump Administration Affecting Investment Professionals”
Speaker: Brian J. Laliberte| Attorney | Tucker Ellis LLP
Brian will be discussing how the SEC, FINRA, and the Department of Labor are changing under the Trump administration and how these changes affect investment professionals.
As the chair of Tucker Ellis’s Financial Services Litigation Group, Brian draws upon the firm’s diverse practice capabilities, crossfunctional teams, and national platform to meet the needs of financial services clients in any litigation context. It derives from Brian’s experience forming mortgage fraud task forces, leading consumer lending practices investigations, and participating in multi-state financial services industry working groups during his tenure as a chief deputy attorney general in Ohio.
Brian defends and prosecutes civil claims arising from alleged securities and financial fraud. He has represented broker-dealers and registered representatives in matters including unsuitability, over-concentration, churning, switching, fraud, and trading away. He has litigated and tried cases involving closely held companies and allegations of self-dealing, waste, fraudulent or false business valuation, shareholder lockouts or force-outs, fraudulent accounting practices, breaches of contract, and fiduciary duty claims.
Brian has a JD from the Case Western Reserve University School of Law and a BA from University of Michigan
DATE: Wednesday November 15, 2017
WHERE: Heatherdowns Country Club, 3910 Heatherdowns Blvd., 43614
TIME: 12 Noon buffet lunch, followed by the program
COST: WMSNWO members: No Charge
All Others: $20.00 (Student non-members: $5.00)
Guests register using button at top of page.
Members RSVP to Dr. Linda Bowyer Phone: 419-276-0664, linda.bowyer@utoledo.edu
Reservations must be received by 5pm Monday November 13, 2017
If you prefer a vegetarian lunch, please let Linda know.