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  • Description

    Professional standards for lawyers and others working in the Capital Markets and Financial Service Industry may differ from other areas of business. This CLE course will provide an overview of subjects such as legal opinions, representation of organizations and constituents with adverse interests and when to advise the Board of unethical or unlawful conduct. The course will explain the overriding concept of fiduciary duty, as well as the role of lawyers in advising client organizations to ensure duties are met as well how to ensure maintenance of professional responsibilities and integrity of an organization.

  • 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.


    • 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.

    James Rothenberg

    Brandeis University B.A. 1966 Columbia Law School/Graduate School of Business J.D./M.B.A. 1970 S.E.C. Enforcement Attorney 1970-1973 N,Y,S.E, Chief Counsel and Manager, Market Surveillance Division, 1973-1975 N.Y.S.E. Specialist Market-Maker 1975-1985 Securities Attorney, Law Office of James L.Rothenberg 1985-Present, Corporate Counsel, M.S. Farrell & Co., Inc. 1992-1995 Arbitration Counsel, Duke & Co. Inc.1995-1996 Counsel, Bear Wagner Specialists 1996-2003 Senior Trading Consultant/Analyst, IPO Executive Committee 2004-2005 Case Consultant/Expert Witness, Securities Litigation and Arbitration, Criminal Defense and Employment, 1990-Present Consultant and Lecturer, Securities Market Structure, Exchange Specialists and NASD Market-Makers.

    Areas of expertise are:as follows: Expertise Manipulation, Fraud, Suitability, Supervision, Breach of Fiduciary Duty, Negligence, Federal and State Securities Laws, Mutual Funds, Investment Advisors, Statute of Limitations, Punitive Damages, Defenses to Claims, Raiding, Bonuses,Contracts