How to Assess and Prosecute a Potential Investment-Related Case

$95.00

Clear
Live Webcast/Rebroadcast – You watch the course online at the specified date and time shown below. You can ask questions and receive answers during the course.
On-Demand – You watch the course anytime and will have access to the course 24/7. Our On-Demand courses are available within 5-10 business days after the original recording and accessible for one year.

Course Description

Live Webcast – April 16, 2021

  • 7:00-8:00am PT / 8:00-9:00am MT / 9:00-10:00am CT / 10:00-11:00am ET

This course will teach practitioners how to assess potential cases against brokerage firms and investment advisory firms by customers who believe their investment accounts have been mishandled. We will discuss how to screen and assess potential clients, arrange for the analysis of investment account performance, examine the background of investment brokers and investment advisers (and distinguish these two types of financial advisers), review the features, benefits and risks of various investments, and determine what forum, if any, in which a case should be prosecuted, and fee arrangements.

Speaker Bio
1 General Credit
Course Agenda

Attorney Drew ClaytonDrew Clayton
Drew Clayton’s practice focuses on securities arbitration and litigation. He worked in the securities industry in mutual fund marketing and as a registered representative in New York and New Jersey for five years before he became an attorney. Drew held a number of securities and insurance licenses as a result of that work. He was also the vice president of operations for a New York based company that drilled oil and gas wells for investment partnerships in various states throughout the United States in the mid-1980s.

Contact Drew Clayton

1 General Credit

ProLawCLE will seek approval of any CLE program where the registering attorney is primarily licensed with exceptions stated below. Application is made at the time an attorney registers for a course, therefore approval may not be received at the time of broadcasting.

ProLawCLE does not seek approval in the state of Virginia.

Each state has its own governing rules and regulations with regards to CLE courses and formats, therefore please contact your state MCLE regulatory entity for further details about your state's rules. Please visit our State Requirements page for information regarding your state's CLE requirements and/or contact information for your state bar.

As stated in our Reciprocity Provision, ProLawCLE will grant credit in the following states through reciprocity, therefore direct application will not be made in these states:

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The following states are self apply. The attorney can apply for credit at no cost. We will provide documentation for them to apply:

CO, IA, NE

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SC Attorneys please note: Registration must occur no later than 5 business days from the event date or course accreditation is not guaranteed.

ProLawCLE is dedicated to providing quality education from expert speakers and ensuring each attorney receives CLE credit for their participation. If for some reason a particular course does not receive approval in the attorney's primary state of licensure, ProLawCLE will give credit for a future approved course or give a full refund, if applicable.

Each On-Demand course is available to you for 1 year from date of purchase. Additionally, CLE credit is only available within that year.

Read our full Reciprocity Provision here

Course Agenda

  1. Client intake process – what information should you get about the client?
  2. Investment account analysis – what to get and how to arrange it
  3. Investigating the background of brokers and investment advisers
  4. Understanding the differences between brokers and investment advisers
  5. How to review the features, benefits and risks of various investments
  6. Choosing the right forum in which to bring a case, i.e., arbitration or court?
  7. Possible fee arrangements
Monday: 9am - 6pm ET
Tuesday: 9am - 6pm ET
Wednesday: 9am - 6pm ET
Thursday: 9am - 6pm ET
Friday: 9am - 4pm ET
Saturday/Sunday: Email Only
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