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Securities Law Committee
 
Date: 02/16/2017
 
Location: The Chicago Bar Association, 321 South Plymouth Court, Chicago, IL 60604
 
Presented by: Securities Law
 
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TOPIC: Surviving a FINRA Disciplinary Proceeding

SPEAKER(S): Richard March, Senior Regional Counsel, FINRA; Bob Chung, Chief Compliance Officer and General Counsel, Arete Wealth Advisors, LLC