Securities Law Luncheon October 15th 2014


October 15th 2014

Thank you to our sponsor:


Topic: Recent Enforcement Efforts and Current Focus in 2014.

Moderator: Burton Wiand

Panelist: Elisha L. Frank
Assistant Regional Director for the U.S. Securities and Exchange Commission, Miami, Florida and Co-Chair of the Microcap Fraud Task Force

Panelist: Dawn Calonge
Surveillance Director of Financial Industry Regulatory Authority (“FINRA”), District 7

Panelist: Pamela P. Epting
Director of the Division of Securities for the Florida Office of Financial Regulation

Panelist: Lee Kell
Chief of the Bureau of Enforcement for the Florida Office of Financial Regulation

Chester H. Ferguson Law Center
1610 N. Tampa Street

Members: $19.00 Non-Members: $31.00

Phone: 221-7777 E-Mail:
Cancellations must be made 72 hours prior to event to receive a refund.
We cannot guarantee seating for walk-ins.

Payment due day of event.