WGK Attorneys Host the Inaugural Luncheon of the HCBA Securities Section with Federal and State Regulators

10/16/2014

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The Hillsborough County Bar Association’s new Securities Section had its inaugural event on October 15, 2014 at the Chester H. Ferguson Law Center in Tampa, Florida.  More than 70 people attended the luncheon at which senior representatives from the Securities Exchange Commission, Florida Office of Financial Regulation, and the Financial Industry Regulatory Authority answered questions about recent enforcement efforts and their regulatory focus in 2014.  The event was organized by the Section’s Co-Chairs, Dominique Heller and Jared Perez, and Regulatory Committee, led by Dionne Fajardo.  Ms. Heller, Mr. Perez, and Ms. Fajardo are lawyers with Wiand Guerra King.

According to Mr. Perez, “We wanted to give our local practitioners and industry members an opportunity to interact with our regulators because events like this one go a long way to building good relationships.”  Ms. Heller said, “We are delighted with the outcome and what our Regulatory Committee was able to accomplish in a short amount of time.  This sets the stage for great events to come.”

The Securities Section’s Litigation Committee is planning a cocktail reception and toy drive for December 17, 2014.