Boston (PRWEB) September 02, 2015
Pete S. Michaels, a Securities Litigation and Financial Regulatory and Compliance shareholder in Greenberg Traurig, LLP’s Boston office, will serve as a panelist at the SIFMA Compliance and Legal Society (C&L) Regional Seminar, Sept. 28, 2015, in Charlotte, North Carolina.
On Monday, from 11 a.m. to 12:15 p.m., Michaels will present on the panel, “Chief Compliance Officer (CCO) Roundtable,” moderated by Dana S. Alligood, Enterprise Compliance Executive and COO of Global Compliance for Bank of America Merrill Lynch. The panel will discuss hot topics in broker-dealer regulation and compliance officer liability, as well as best practices for compliance officers.
According to its website, SIFMA is the voice of the nation’s securities industry, bringing together broker-dealers, banks, and asset managers whose employees provide access to the capital markets. The SIFMA C&L Series of Regional Seminars attracts leading legal and compliance professionals who occupy decision-making positions within their firms. The C&L Charlotte Seminar will feature topics such as securities enforcement, compliance examination, and cyber security.
Michaels focuses his practice on financial services litigation and regulatory matters. He has handled matters throughout the United States for multi-national and regional financial services firms (including banks, investment advisers, mutual fund complexes, pension consultants, insurance companies, and traditional, independent, and discount broker-dealers), as well as their employees, directors, and officers. He has represented clients in matters before the Securities and Exchange Commission (SEC), U.S. Department of Justice (DOJ), U.S. Commodity Futures Trading Commission, National Futures Association, American Stock Exchange, Financial Industry Regulatory Authority (FINRA), and state securities regulators throughout the United States. For more than 25 years, Michaels has also handled securities disputes, including class actions, in many state and federal courts, and before arbitration panels. He is regularly consulted on compliance-related matters, including internal investigations, and he has twice served as Outside Compliance Consultant in Massachusetts Securities Division matters.
About Greenberg Traurig’s Boston Office
Established in 1999, Greenberg Traurig’s Boston office is home to more than 65 attorneys practicing in the areas of corporate, emerging technology, energy, governmental affairs, healthcare, intellectual property, labor and employment, life sciences and medical technology, litigation, public finance, real estate and securities. An important contributor to the firm's international platform, the Boston office includes a team of nationally recognized attorneys with both public and private sector experience. The team offers clients the value of decades of legal experience and hands-on knowledge of the local business community, supported by the firm's vast network of global resources.
About Greenberg Traurig, LLP
Greenberg Traurig, LLP is an international, multi-practice law firm with approximately 1800 attorneys serving clients from 37 offices in the United States, Latin America, Europe, Asia, and the Middle East. The firm is among the 2015 BTI Brand Elite and among the most “Tech Savvy.” It was on the 2013-2015 BTI Client Service 30 listings of firms “most recognized by clients for providing excellent client service,” and one of the 2014 BTI Client Relationship Scorecard “Power Elite,” based on the nature and strength of its client relationships. More information at: http://www.gtlaw.com.