Are you the CEO, COO, or CCO of an SEC-registered investment advisor?

We invite you to register below to attend any of the presentations in Ryan Swanson’s five-part 2018 RIA Legal Issues Series.

All events begin at 12pm in the offices of Ryan, Swanson & Cleveland, PLLC – 1201 Third Avenue, Suite 3400, Seattle, WA 98101.  Seminars are one hour. Lunch will be provided. Seating is limited to C-level representatives of SEC-registered RIAs.

May 9
Robo Advice: Legal and Compliance Issues [presentation slides]
Roger Mellem & Brenton Twitchell

May 16
Surviving SEC Investigations: Communication Strategies To Retain Clients
Roger Mellem & Mark Firmani, Firmani + Associates Inc.

May 23
Business Transactions and Succession Planning for RIAs
Phil Roberts, Derek Crick & Laurie Nichols, Succession and Transition Coach

May 30
Customer Claims Against RIAs: Strategies for Defense
Roger Mellem & John Bender

June 13
When Representatives Change Firms: Preventing and Winning Employment Disputes
Roger Mellem & Shannon Lawless

CONTACT US

If you have questions about the series, please contact Roger Mellem, Chair of Ryan Swanson’s Registered Investment Advisors practice.