Broker & Financial Advisor Seminar + Networking Social


Broker & Financial Advisor Seminar + Networking Social

Join us on April 8th to improve your business. There is no cost to attend the seminar. A suggested charitable donation of $10 is requested for the social, which includes free drinks and appetizers.

3:30-4:30 p.m. Seminar

Legal – Hot Topics for Brokers and Financial Advisors

  • Suitability – Analyzing recent guidance on Suitability and Know Your Customer rules
  • Unauthorized Trading – Understanding the frequently-violated unauthorized trading rules
  • Expungement – How might recent media attention impact your ability to obtain an expungement?

Marketing – Best Financial Advisor Strategies for Getting Referrals from Attorneys

  • How do attorneys, who know many financial advisors, decide where to refer work?
  • How do you stay memorable to attorneys?
  • What are best practices? What common tactics don’t work?

The legal presentation will feature securities attorney Mark C. Santi, providing practical, results-driven advice. He combines experience in complex commercial litigation with a passion for vigorously representing victims of investment-professional misconduct nationwide. The marketing presentation will feature attorneys Mark Santi, Aaron Hall, Matt McClenahan and Steve Katkov.

4:30-6:30 p.m. Social

The social will also be attended by over 100 CPAs, attorneys, business owners, and our law firm’s other professional contacts. Profits from the social go to the Special Olympics of Minnesota.


  • 20th Floor Conference Room, AT&T Tower, 901 Marquette Ave S, Minneapolis

Register for One or Both


Registration or attendance at this event does not create an attorney-client relationship. Any event registration fee is not a fee for legal services.

We may take photographs and videos at events. By registering for this event, you consent to use of your image in photographs or videos of the event.

All registration fees are final. No refunds.