News & Views
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CFI Professional Insights Series: Featuring Jonathan N. Santelli
- November 2, 2020
- Posted by: giawatkins
- Category: Professional Insights
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Jonathan N. Santelli serves as Executive Vice President and General Counsel at Raymond James Financial. He has held senior positions at a number of highly respected financial services firms, including First Republic Bank, Bank of America and Merrill Lynch & Co. Notably, while at Merrill Lynch, he represented that firm’s interests in 2008, during its
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Why FINRA’s 529 Plan Self- Reporting Initiative Matters a Year Later For Participating Firms and for Firms That Did Not Participate
- July 13, 2020
- Posted by: giawatkins
- Category: Uncategorized
NSCP Currents — the flagship publication of the National Society of Compliance Professionals — has published “Why FINRA’s 529 Plan Self- Reporting Initiative Matters a Year Later For Participating Firms and for Firms That Did Not Participate,” an in-depth report co-authored by Capital Forensics and Eversheds Sutherland. Read the article HERE.
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How to Prepare for and Conduct a FINRA Arbitration on Zoom: Insights & Best Practices
- June 24, 2020
- Posted by: giawatkins
- Category: CFI News
Thursday, July 9, 2020 3pm – 4pm EDT Moderator: Eric Siber, Managing Director, Capital Forensics, Inc. The dynamics and outcomes of online arbitrations can be very different from in-person hearings. Our “lessons learned” from three panelists — who possess first-hand experience in FINRA arbitrations conducted on Zoom — are designed to help counsel prepare for, and
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CFI Professional Insights Series: Featuring Sandra Grannum
- June 9, 2020
- Posted by: giawatkins
- Categories: CFI News, Professional Insights
Sandra Dawn Grannum is a Partner in the Business Litigation Group at Faegre Drinker Biddle & Reath LLP, where she serves on the Firm’s governing board and she is co-chair of the Firm’s nationwide Securities and Financial Services Litigation Team. Sandy is a fellow of the American College of Trial Lawyers and concentrates her practice
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CFI Professional Insights Series: Featuring Skip Keesal
- February 26, 2020
- Posted by: giawatkins
- Categories: CFI News, Professional Insights
In 1970, Skip Keesal founded the law firm of Keesal, Young & Logan, which now has offices in Long Beach, San Francisco, Seattle, Anchorage, and Hong Kong; specializing across a very broad range of practice areas. Skip has tried more than 250 cases in 17 different states, including approximately 75 jury trials. Based his extensive
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Zoom Arbitration Webinar Replay
- February 12, 2020
- Posted by: giawatkins
- Category: CFI News
To skip the technical difficulties, We recommend that you start this session at 5:42. The dynamics and outcomes of online arbitrations can be very different from in-person hearings. Our “lessons learned” from four panelists — who possess first-hand experience in FINRA arbitrations conducted on Zoom — are designed to help counsel prepare for,
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We wrote the book on MockArb®. Request your free copy of “Mock Arbitration: A Blueprint for Risk Mitigation.”
- February 11, 2020
- Posted by: giawatkins
- Categories: CFI News, MockArb
Capital Forensics, Inc. Publishes Comprehensive Guide To Understanding And Applying Mock Arbitration
“Mock Arbitration: A Blueprint for Risk Mitigation” Provides Legal Counsel With Insights into How MockArb® Process Can Improve Outcomes in Actual Client Arbitrations -
Two Ways CFI Gives Back to the Industry
- February 9, 2020
- Posted by: giawatkins
- Category: CFI News
At Capital Forensics, we seek to help address the root causes of the challenges that our clients face. Two recent examples include Kamran Fotouhi’s presentation at the Boynton Beach Senior Center on ways to prevent investment fraud; and Eric Siber’s participation in the Florida Securities Dealers Association’s initiative to teach financial literacy to students.
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CFI Featured in Palm Beach Daily News
- January 7, 2020
- Posted by: giawatkins
- Category: CFI News
Jay Rosen and Stuart Berman Explain Financial Elder Abuse Elder Abuse is a growing issue of concern as the population ages, and there are many forms of abuse, including misappropriation of financial assets. In this feature article for the “Estate Planning” special issue for the Palm Beach Daily News, CFI founder and Chairman Emeritus Jay
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SEC Review of RIA Mutual Fund Revenue Disclosures – It’s Not Just 12b-1 fees!
- October 18, 2019
- Posted by: giawatkins
- Category: SEC
The SEC recently announced its second wave of 12b-1 SCSD Amnesty Settlements. It included one firm that was not a participant in the self-reporting initiative. It has also signaled that they are continuing to see these problems on exams, with firms who did not self-report. More troubling, but not surprising is the expected expansion of
