Day Pitney remains committed to providing quality legal counsel, while protecting our clients and employees, and transforming our communities into more just, equal and equitable spaces. For more information, please visit our COVID-19 Resource Center | Racial Justice and Equity Task Force.


Publications Events

Red Flags 2015: Broker-Dealer and Investment Adviser Hot Topics

November 5, 2015

On November 5, Day Pitney hosted a complimentary seminar and breakfast called “Red Flags 2015: Broker-Dealer and Investment Adviser Hot Topics” in the New York office. The event, which was co-sponsored by Breard & Associates, Inc. (Certified Public Accountants) and RegMaven, Inc. drew in a crowd of over 50 attendees. Hank Nelson Massey, Eliza Sporn Fromberg, Richard Harris, Robert Appleton and David Elliot all spoke at the event. They discussed topics including broker-dealer audits, insider trading after the Newman decision, the SEC’s proposed changes to Form ADV, the pitfalls of trading private company shares and cybersecurity.

Related Professionals
Parsippany, NJ
New York, NY
T: (973) 966 8105
New York, NY
T: (212) 297 5847
Hartford, CT
New Haven, CT
T: (860) 275 0294