The Briggs Forum on Financial Markets: Securities, Insurance, Litigation and Regulation is Thursday, April 20

The Briggs Forum on Financial Markets: Securities, Insurance, Litigation and Regulation (formerly known as the Upper Midwest Securities Litigation and Enforcement Forum) is Thursday, April 20 at Windows on Minnesota, on the 50th floor of the IDS Center.

Our exceptional lineup of speakers will present on challenges and strategies that affect the financial industry, including securities and insurance regulation and enforcement, cyber security and customer data, and current events and ethical considerations.

The full agenda of speakers and topics is as follows:

8:00 – 8:30 am Registration and Continental Breakfast
8:30 – 8:45 am Welcome: Financial Markets in the New Era
8:45 – 9:15 am Regulatory Priorities in Minnesota
  • Michael J. Rothman, Commissioner,
    Minnesota Department of Commerce
9:15 – 10:15 am DOL Fiduciary Duty Rule: What Now?
  • Nicole James Gilchrist, Senior Counsel, Thrivent Financial
  • Eric L. Marhoun, EVP and General Counsel,
    Fidelity & Guaranty Life Insurance
  • Ambassador Tom McDonald, Partner, BakerHostetler
  • Julie H. Firestone, Briggs and Morgan, P.A. (Moderator)
10:15 – 10:30 am Break
10:30 – 11:30 am Focus on the Regulators: What Can We Expect in Financial Regulation
  • R. Scott DeArmey, District Director, FINRA
  • Paul Mensheha, Regulatory Counsel, SEC
  • Frank A. Taylor, Briggs and Morgan, P.A. (Moderator)
11:30 am – 12:30 pm Networking Lunch (provided)
12:30 – 1:15 pm Current Events and Ethical Considerations
  • Professor Richard W. Painter,
    University of Minnesota Law School
1:15 – 2:15 pm An Aging Population: Elderly Clients and Clients with Diminished Capacity
  • Melissa J. Morris, Special Care Planner,
    Minneapolis Financial Group
  • Anita Raymond, LISW, CMC,
    Volunteers of America
  • Andrea Smith, Corporate Counsel, Wells Fargo
  • Robert A. McLeod, Briggs and Morgan, P.A. (Moderator)
 2:15 – 2:30 pm Break
 2:30 – 3:15 pm Managing the Inside/Outside Counsel Relationship
  • Margaret A. Goetze, Associate General Counsel,
    RBC Wealth Management
  • Jen Randolph Reise, AVP Corporate Compliance and Ass’t Corporate Secretary, Regis Corporation
  • Eric J. Rucker, Senior Counsel, 3M
  • Scott G. Knudson, Briggs and Morgan, P.A. (Moderator)
3:15 – 4:15 pm The New Great Train Robbery: Cyber Security and Protecting Customer Data
  • James C. Browning, Jr., Deputy General Counsel and VP, Stifel, Nicolaus & Company
  • Michelle M. Carter, Assistant Vice President – Executive Risk, Hays Companies
  • David E. Rosedahl, General Counsel,
    Dougherty & Co.
  • Daniel J. Supalla, Briggs and Morgan, P.A. (Moderator)
4:15 – 5:00 pm  Networking Reception
The agenda has been submitted for 6 CLE credits (.75 ethics credit, 1 elimination of bias credit and 4.25 general credits).
Lunch will be provided.

Click here to register.


About Julie Firestone

Julie Firestone is a member of Briggs and Morgan's Business Litigation Section and the Financial Markets Group. Julie practices primarily in the following areas: complex commercial disputes and class actions; securities litigation and arbitration; SEC and FINRA regulatory investigation and enforcement; and shareholder and partnership disputes. Julie represents corporations, investment firms, broker-dealers, insurance companies, issuers of securities, registered representatives and insurance agents in class actions, regulatory proceedings and other adversary matters. She also focuses on customer complaints and regulatory compliance, as well as customer disputes in arbitration. Julie’s legal experience includes matters involving securities fraud, breach of contract, common law fraud, RICO, breach of fiduciary duty, suitability, selling away and unauthorized trading.
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