Insights & News

Stradley Ronon Financial Services Regulatory Workshop

April 10, 2024
11:45 a.m. Registration | 12-1:30 p.m. Lunch and Discussion

Penn Club of New York
Spruce Room, 3rd Floor 30 W 44th Street
New York, New York

Join Stradley Ronon for lunch and a roundtable discussion that will cover current topics of interest relating to broker-dealers, including:


  • New dealer rules from the SEC.
  • DOL and fiduciary rule updates.
  • Form U-5 litigation: Considerations for parallel-track defamation and discrimination actions.
  • Remote office inspections.

Please let us know if there’s a topic you would like us to explore. Share your thoughts with the presenters by following the registration link below.   


Katrina L. Berishaj
Managing Counsel & Co-Chair, Fiduciary Governance

Frederic M. Krieger
Co-Chair, Broker-Dealer

Amy E. Sparrow
Partner, Securities Litigation & Enforcement

Lawrence P. Stadulis
Partner & Co-Chair, Fiduciary Governance

Save the Date: Thursday, May 30, 2024, for the next in-person meeting of the group in our Philadelphia office.


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