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Follow on Google News | James C. Cosby, Partner, Vandeventer Black LLP to Speak at KC’s EventFor further details, please visit: https://theknowledgegroup.org/ About James C. Cosby Mr. Cosby is a partner with the law firm of Vandeventer Black LLP, and is the Department Manager of its offices in Richmond, Virginia. He has extensive experience representing Financial Services firms, including FINRA-member firms and associated persons, in private arbitration and litigation, regulatory and enforcement proceedings, and employment law. He was graduated from the Virginia Military Institute and the University of Richmond, T.C. Williams School of Law. He began his career serving as a law clerk to the Hon. Charles S. Russell, Supreme Court of Virginia. He serves as an Adjunct Professor of Law at the University of Richmond. He is an active member of the Securities and Financial Markets Association (SIFMA), Compliance and Legal Division. About Vandeventer Black LLP Vandeventer Black LLP is a full-service business law firm established in 1883. The firm has long-standing strengths in commercial litigation and professional liability matters across a number of industries and businesses. Headquartered in Norfolk, Virginia, the firm’s lawyers practice from five offices located in Virginia and North Carolina, as well as an affiliated office in Hamburg, Germany. Vandeventer Black has been a firm of choice for significant legal matters for over 100 years. For more information, please visit www.vanblk.com Event Synopsis: In May 2015, the Financial Industry Regulatory Authority’s (FINRA) National Adjudicatory Council (NAC) released the revised Sanction Guidelines (SG) that provide increased monetary penalties and tougher sanctions for FINRA member firms and brokers committing fraud or violating suitability rules. The SG outline the general principles for adjudicators to discipline violators. These include harsher sanctions, lower standards for imposing suspensions, censures, and barring and, of course, increased monetary penalties. Included is the option to ‘escalate’ In light of the enhanced SG, individuals and member firms should expect more aggressive action from FINRA’s Enforcement staff. The basic requirement to strengthen policies, procedures, and compliance remain vital to avoiding enforcement and fines. In this two hour, LIVE Webcast, a panel of distinguished professionals, thought leaders, and practitioners assembled by The Knowledge Group will help FINRA’s member firms and associated brokers understand the new, tougher Sanction Guidelines for FINRA Rule Violations in 2015. The speakers also will discuss the consequences of the updated Sanction Guidelines and provide advice on mitigating the risk of violation through development of sound compliance programs. Key issues that will be covered in this course are: § Revised FINRA Sanction Guidelines (SG) § Mark Hotton and Oppenheimer and Co. § Deterrence and Investor Protection § Sanctions Determinants § ‘Escalating’ § Tougher Sanctions for Fraud § Tougher Sanctions for Suitability Rule Violations § Significant Penalties Tied to CPI § Restitution and Disgorgement for Misconduct § Litigation Risks § Non-compliance and Risk Mitigation § Sound Compliance Programs About The Knowledge Group/The Knowledge Congress Live Webcast Series The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: http://theknowledgegroup.org End
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