National Society of Compliance Professionals

Advertising and Sales Literature
    October 1999 National Meeting – Washington, D.C.
Conducting an Internal Investigation
    April 2001 Regional Meeting – New York, N.Y.
Communications With The Public; e-mail use
    October 2001 National Meeting – Washington, D.C.
The New SEC Books and Records Requirements
    October 2002 National Meeting – Washington, D.C.

Securities Industry Association/Securities Industry and Financial Markets Association

Branch Supervision: Mutual Funds and Variable Annuities
    March 2002 Annual Meeting – Palm Desert, CA
Litigation Update: Customer Disputes
    September 2003 Regional Meeting – Washington, DC
Customer Complaints
    March 2004 Annual Meeting – Phoenix, AZ
How to Build and Maintain a Successful Compliance Program
    September 2004 Regional Meeting – Washington, DC
Customer Complaint Reporting
    March 2005 Annual Meeting – Palm Desert, CA
Putting the “Effective” in Your Compliance Program
    October 2005 Regional Meeting – Washington, DC
Surveillance & Technology: Designing an Effective Surveillance System
    November 2005 Regional Meeting – New York, NY
Customer Complaints
    March 2006 Annual Meeting – Hollywood, FL
The Current Face of Examinations
    October 2006 Regional Meeting – Washington, DC
Surveillance & Technology: Building an Effective Surveillance System
    November 2006 Regional Meeting – New York, NY
Regulatory Examinations
    October 2007 Regional Meeting – Washington, DC
Managing Legal Issues for Small and Regional Firms
    March 2008 Annual Meeting – Orlando, FL
Managing Legal Issues for Small and Regional Firms
    March 2009 Annual Meeting – Phoenix, AZ
Managing Legal Issues for Small and Regional Firms
    May 2010 Annual Meeting – Washington, DC
Managing Legal Issues for Small and Regional Firms
    March 2011 Annual Meeting – Phoenix, AZ
Compliance for Small and Regional Firms
    March 2013 Annual Meeting – Phoenix, AZ
Compliance for Small and Regional Firms
    April 2014 Annual Meeting – Orlando, FL
Compliance for Small and Regional Firms

The American Conference Institute

Choosing and Using Expert Witnesses for Securities Arbitration
    June 2004 – New York, NY
Applying the Uniform Securities Act to Pre-Dispute Arbitration Clauses; and Using Expert Witnesses to Win Over the Arbitrators
    May 2005 – New York, NY
Defending Alleged Broker Misconduct in Suitability, Misrepresentation, and Unauthorized Trading Claims
    May 2006 – New York, NY
Selecting the Right Arbitration Panel
    May 2007 – New York, NY