HCBA’s Securities Section Hosted A Luncheon On January 28, 2016

The Hillsborough County Bar Association’s Securities Section hosted a luncheon on January 28, 2016 at the Chester H. Ferguson Law Center in Tampa, Florida.  Fifty people attended the presentation.  Representatives from securities industry regulators answered questions about enforcement efforts in 2015 and regulatory priorities in 2016. The panelists included: (1) Elisha Frank, Assistant Regional Director, Securities and Exchange Commission, Miami Regional Office; (2) Dawn Calonge, Surveillance Director, Financial Industry Regulatory Authority, Boca Raton District Office; and (3) Alisa Goldberg, Florida Office of Financial Regulation, Acting Securities Division Director and Bureau Chief for Bureau of Registration.  Kevin Carreno, Esq. moderated the presentation.  The event was organized by the Section’s Co-Chairs, Dominique Heller and Daniel Dietrich.  Ms. Heller is a Shareholder of Wiand Guerra King.