You don't want to miss this seminar ft. the Alabama Securities Commission! CFP Board CE Hours available.
We are excited to offer you a new,complimentary seminaron
PREVENTING & REPORTING
SENIOR FINANCIAL ABUSE
Join us for a breakfast seminar featuring the Alabama Securities Commission.During this seminar you will learn about the most recent regulatory developments from the ASC, SEC and FINRA, and discover how to better protect yourselves and your clients.
1.5 CFP Board CE hours available. There is limited seating so register now while space is still available!
Amanda Senn is the Deputy Director of Enforcement and General Counsel for the Alabama Securities Commission. She is responsible for investigating and prosecuting fraudulent actions surrounding the sales of securities throughout the state of Alabama, and has coordinated and litigated numerous multijurisdictional administrative, civil, and criminal matters.
Katie Kimbrell is Associate Counsel for Protective Life in the Investment Product and Securities Division. Katie provides counsel on a wide range of broker-dealer and registered investment advisory issues, as well as regulatory and compliance matters. She is also responsible for managing litigation for ProEquities Inc.
Attorney Joel Everest is a Principal in Bressler’s Alabama office. His practice focuses primarily on securities litigation, with a special focus in the defense of brokerage firms and financial institutions. He is also a member of Bressler's Senior and Vulnerable Investor Group, which provides counsel to corporate clients confronting issues affecting seniors.