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Event Materials and Videos 


The Briggs Forum on Financial Markets: Securities, Insurance, Litigation and Regulation

The Briggs Forum on Financial Markets: Securities, Insurance, Litigation and Regulation (formerly known as the Upper Midwest Securities Litigation and Enforcement Forum), a full-day seminar hosted by the Financial Markets Group at Briggs and Morgan, P.A.,
included exceptional speakers who presented 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.

Update: The agenda was approved for 6 CLE credits (.75 ethics credit, 1 elimination of bias credit and 4.25 general credits). Seminar attendees will be notified of approval via email.

Materials and videos are available via linked items below:


Agenda


Speaker Bios


Welcome
Frank A. Taylor, Briggs and Morgan, P.A.

Welcome


Regulatory Priorities in Minnesota
Michael J. Rothman, Commissioner, Minnesota Department of Commerce

Regulatory.JPG

  • Video
  • No written materials

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)

DOL Fiduciary Rule


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)

Focus on the Regulators


Current Events and Ethical Considerations
Professor Richard W. Painter, University of Minnesota Law School

Current Events and Ethics

  • Video
  • No written materials

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)

Aging Population


Managing the Inside/Outside Counsel Relationship
Margaret A. Goetze, Associate General Counsel, RBC Wealth Management
Jen Randolph Reise, AVP Corporate Compliance and Ass’t Corp. Secretary, Regis Corp.
Eric J. Rucker, Senior Counsel, 3M
Scott G. Knudson, Briggs and Morgan, P.A. (Moderator)

Inside Outside Counsel


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)

cyber security