SCHEDULE PLANNING GUIDE - Financial Services Institute

ED SESSIONS
Compliance Track
Best Practices for Litigation and Arbitration
Tuesday, January 26, 8:30am–9:45am (75 minutes)
Market downturns have historically been followed by an increase in customer complaints, arbitrations,
and litigations. This session will cover an overview of the current litigation and arbitration
environment, with a focus on how firms can take steps to improve their handling of these situations.
Our speakers also will cover best practices around the use of e-mail in this age of transparency and
discovery. What should be communicated via e-mail What should not How is the attorney-client
privilege appropriately protected
Moderator: Bernie Breton, CFP ® , Chief Compliance Officer, Multi-Financial Securities Corp.
Speakers: Sam Edgerton, Partner, Edgerton & Weaver, LLP
Nina McKenna, Chief Counsel, ING Advisors Network
Bernard (Bernie) Breton is responsible for overseeing the compliance program of
Multi-Financial Securities Corp. As the CCO, he also serves as the money laundering
reporting officer (MLRO) and regulatory liaison with FINRA and SEC.
Bernie has over 20 years of experience in the securities compliance area. He previously
served as chief compliance officer for Carillon Investments, Inc., and Union
Central Life Insurance Company’s separate accounts. Prior to that, he held various
compliance positions with MetLife and AXA. He started his compliance career as
an examiner with FINRA’s Atlanta District.
Bernie graduated magna cum laude with a Bachelor of Science degree in
economics and earned an M.B.A. with a major in finance, both from the University
of Tennessee at Chattanooga. He is a CERTIFIED FINANCIAL PLANNER (CFP ® )
certificant and holds various securities registrations. He is also a past FINRA DBCC
Committee member and serves as industry arbitrator for FINRA Arbitration.
Sam Edgerton is the founding partner of Edgerton & Weaver, LLP. Sam is a trial
attorney with civil litigation expertise in state and federal courts, as well as appellate
work, arbitration, and mediation. Sam also has extensive experience in
government enforcement litigation and corporate compliance matters.
From 1982 through 1986, Sam worked in the Office of Enforcement of the U.S.
Securities and Exchange Commission in Los Angeles. From 1984 through 1986, he
also served as a special assistant United States attorney (Criminal Division). Sam
also served as mayor of Hermosa Beach for four terms, having been elected to the
City Council by popular vote in 1991, 1995, 1999, and 2003.
sam is a member of the state bars of California, New York, Massachusetts, and the
District of Columbia. He is also admitted to practice before the Supreme Court of
the United States of America.
18 2010 FSI Broker- Dealer Conference