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Fiduciary Duty For Lawyers In The Capital Markets

SKU: ETH8600
Total Credits
1 - 2
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This CLE Course will address the Professional Standards for Lawyers, and other Professionals in the Capital Markets and Financial Service Industry. It will include subjects such as legal opinions, advising the Board with respect to unlawful and unethical conduct and conflicts, and representing the organization and constituents who may have adverse interests. There will be discussion of the overriding concept of Fiduciary Duty, and the Special Role of The Lawyer in Advising Client Organizations and other Professionals so that the Organization, its Board, Officers, and other Professionals meet their Fiduciary Duties and Professional Responsibilities and Professional Responsibilities and Organization Integrity is maintained.

Lecturer Bios

Norman B. Arnoff, Esq.

Commercial law practice in New York City and in governmental legal positions in areas of insurance coverage/defense and professional liability of lawyers, accountants, securities broker-dealers and investment advisers and their representatives. Substantial litigation and appellate experience, including supervision and handling of hundreds of NASD/FINRA and other arbitrations. Regular columnist on professional liability issues for New York Law Journal, and author of articles for Securities Litigation and Securities Arbitration Commentators, and other publications as well as extensive speaking and published writing on professional liability and securities law topics.


  • New York University School of Law, J.D., New York, NY, February 1969.
  • New York University, BA, Bronx, NY, June 1965.

Honors: Phi Beta Kappa; Founders Day Award for Scholarship.

James L. Rothenberg, Esq.

Brandeis University B.A. 1966 Columbia Law School/Graduate School of Business J.D./M.B.A. 1970 S.E.C. Enforcement Attorney 1970-1973 N,Y,S.E, Chief Counsel and Manager, Market Surveillance Division, 1973-1975 N.Y.S.E. Specialist Market-Maker 1975-1985 Securities Attorney, Law Office of James L.Rothenberg 1985-Present, Corporate Counsel, M.S. Farrell & Co., Inc. 1992-1995 Arbitration Counsel, Duke & Co. Inc.1995-1996 Counsel, Bear Wagner Specialists 1996-2003 Senior Trading Consultant/Analyst, IPO Executive Committee 2004-2005 Case Consultant/Expert Witness, Securities Litigation and Arbitration, Criminal Defense and Employment, 1990-Present Consultant and Lecturer, Securities Market Structure, Exchange Specialists and NASD Market-Makers.

Areas of expertise are:as follows: Expertise Manipulation, Fraud, Suitability, Supervision, Breach of Fiduciary Duty, Negligence, Federal and State Securities Laws, Mutual Funds, Investment Advisors, Statute of Limitations, Punitive Damages, Defenses to Claims, Raiding, Bonuses,Contracts

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