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Investment Loss Claims: Getting Grandma’s Nest Egg Back(2022 Elder Law Institute Session)

  • City:
  • Start Date:2022-07-21 20:00:00
  • End Date:2024-07-21 20:00:00
  • Length:
  • Level:Intermediate
  • Topics:Elder Law

$79.00 ProPass

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Overview

This presentation will provide an overview of the types of investment loss claims against a financial consultant and investment firm, the types of forums to bring an investment loss claim, and the steps in bringing an investment loss claim.  This presentation will also focus on what the financial industry is doing to protect senior citizens.

Recorded at the Elder Law Institute in July 2022.

Faculty

Debra Speyer Esq.

Ms. Speyer, principal of the Law Offices of Debra G. Speyer in Bala Cynwyd, Philadelphia, and Miami, Florida concentrates her practice in the areas of elder law, estate planning and estate administration, securities fraud, and elder fraud. She has been a lecturer for PBI on the topics involving elder law, and investment fraud, and has been a course planner for the annual “Legal Issues in an Age of Aging” seminar. Before going into private practice, Ms. Speyer was an attorney with the Enforcement Division of the National Association of Securities Dealers (FINRA), prosecuting brokerage firms and financial advisors for investment misconduct and fraud. Prior to that, she was an attorney and Vice President with the international brokerage firm Thomson McKinnon Securities, Inc. Ms. Speyer has been an adjunct professor of Law at Drexel Law School. She holds a Juris Doctor in Law, a Master’s degree in finance with a thesis on Program Trading and Stock Market Manipulation, and a Bachelor’s degree in Accounting, all from Hofstra University. Ms. Speyer is a member of the American, Pennsylvania, New York, Florida, Connecticut, Maryland, Washington, D.C., and Philadelphia Bar Associations and is a member of The British Law Society. She is also an arbitrator for the Philadelphia Court of Common Pleas and FINRA. When she is not practicing law, she can be found at her farm where she raises long horned Scottish Highland cattle and Dorper sheep.  

Sandra Grannum Esq.

Sandra Dawn Grannum is a Partner in the Business Litigation Group at Faegre Drinker Biddle & Reath LLP where she serves on the Firm’s governing board and is co-chair of the Firm’s nationwide Securities and Financial Services Litigation Team.  Sandy is a fellow of the American College of Trial Lawyers and recognized by Chambers USA  — New Jersey, Litigation: Securities, 2022.  She concentrates her practice on securities, broker/dealer arbitration, litigation, mediation, and regulatory defense. Sandy has written and lectured widely on securities, ethics and diversity and inclusion issues. She assists in preparing clients for SEC Regulation Best Interest and Interpretation RIA. She chairs the full-day PLI Securities Arbitration Seminar conducted annually in New York City and regularly speaks at the SIFMA C&L Annual Conference, ABA Conferences and on other CLE programs addressing securities and employment law. Sandy was one of 13 individuals on the 2015 FINRA Dispute Resolution Task Force which FINRA impaneled to suggest strategies to enhance the transparency, impartiality, and efficiency of FINRA’s securities dispute resolution forum for all participants. Sandy earned her law degree from Harvard Law School and her bachelor’s degree from New York University. She began her career as a litigation associate at the New York law firm of Cravath, Swaine & Moore before moving to Tenzer Greenblatt to practice securities litigation. Sandy moved in-house to be an Associate General Counsel handling securities litigation at PaineWebber (now UBS Financial Services) in 1997. In November 2001, she became Senior Vice President and Senior Associate General Counsel in UBS’s Employment Law Unit.  In 2003, she formed her own firm, Davidson & Grannum, with a former PaineWebber/UBS colleague.  She joined Drinker in January 2016 and that firm merged to become Faegre Drinker in February 2020.

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