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Lawyer's Professionalism in the Capital Markets and Financial Service Industry

SKU: EPR028
Available In:
Total Credits
1
Price$50
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Live Webinar
June
23
Wed 6/23/2021
1:00PM - 2:00PM
Eastern Time (EDT)

Description

This CLE Lecture will address The Lawyer's Role in the Capital Markets: I. Public and Private Offerings Expressing Legal Opinions; II. Advisor to Corporate Boards, III Representation of Officers, Directors, and Shareholders in regulatory investigations and government proceedings, civil litigation and to facilitate remedial measures. IV SEC Rule 102(e) And Disciplinary Proceedings. V Working With Other Professionals such as Certified Public Accountants. VI The Lawyer As An Officer of The Court and Chief Judge Benjamin Cardozo's quote and aspirational norm. "How it lies with you, to uplift what is low; erase what is false; and redeem what is lost; until all the World shall see and seeing understand that union of the Knight's ardor the scholar's thought, and the hero's passion which in its truest moments of self expression is the Spirit of the Bar!."

Live Webinar Dates

This course will be presented as a Live Webinar on the following date(s):

Lecturer Bio

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.

EDUCATION:

  • 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.



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