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  • Description

    This CLE course will explain how legal standards of fiduciary duty are adaptable to the capital markets and financial services industry. Presented by attorney Norman Arnoff, the course will review tips and strategies to protect against legal action including documentation, informed consent and reporting as well as aspects of legal malpractice including: • Attorney client relationships • Breach of duty of care • Cognizable economic damages (not unquantifiable damages) • Causation – “but for” or proximate cause

  • Instructor Bio

    Norman Arnoff

    Commercial law practice in New York City and in governmental legal positions in areas of insurance coverage/defense and professional liability of lawyers, accountants, securities broker-dealers and investment advisers and their representatives. Substantial litigation and appellate experience, including supervision and handling of hundreds of NASD/FINRA and other arbitrations. Regular columnist on professional liability issues for New York Law Journal, and author of articles for Securities Litigation and Securities Arbitration Commentators, and other publications as well as extensive speaking and published writing on professional liability and securities law topics.

    EDUCATION:

    • New York University School of Law, J.D., New York, NY, February 1969.
    • New York University, BA, Bronx, NY, June 1965.

    Honors: Phi Beta Kappa; Founders Day Award for Scholarship.